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FINRA Awards for Stephen J. Holtman

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0375912/11/2018Claimant(s): Elliot Manson
Claimant Lawyers(s): Christopher D. Lonn
Respondent(s): Robert Dagosta, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Virginia H. Wertz, Brian W. Yee, John H. Fearnow
Hearing Site: Phoenix, AZ
Checkmark Icon$200,000
11-0057607/06/2012Claimant(s): Janet Bowman, Geneva OSWX I, Janet Furman Bowman Trust
Claimant Lawyers(s): Dan J. Suppalla
Respondent(s): Richard Murphy, Thomas Biesheuvel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Douglas G. Plank, Susan M. Sanger, Todd W. Schnell
Hearing Site: Minneapolis, MN
Checkmark Icon$0
10-0275404/09/2012Claimant(s): Craig Larmon, Steven Badeau, Geneva BCCX XVIII, Geneva FTCX I, Geneva OSWX XII, Geneva OSWX XXII, Geneva OSWX XXXVI
Claimant Lawyers(s): Margaret A. Goetze
Respondent(s): Dan Werry, Daniel Wegmann, Eric Swenson, Frederick Fisher, Ameriprise Financial Services., Leslie Smith, Richard Murphy, Ronald Brendengen, Shelley Davenport, Thomas Berthel, 1031 & TIC Investments, Berthel, Fisher & Co. Financial Services, Omni Brokerage.
Respondent Lawyers(s): Britta Schnoor Loftus, Robert T. Matsuishi, Stephen J. Holtman
Arbitrator(s): Andrew R. Dick, Grant D. Sanders, Morton H. Greenberg
Hearing Site: Minneapolis, MN
Checkmark Icon$0

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