| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
|  | $0 |
| 24-00431 | 09/25/2024 | Claimant(s): Dax Seale
Claimant Lawyers(s): George L. Guerra
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Chandler R. Bridges, Peter N. Thompson, Mary Kathleen Coleman
Hearing Site: Dallas, TX
| | |
| 21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers
Claimant Lawyers(s): Aklilu Dunlap
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Thomas DeFranco
Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $0 |
| 21-00984 | 01/24/2022 | Claimant(s): Duane Goeden, Marion Goeden
Claimant Lawyers(s): Duane Goeden
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter N. Thompson, Kerry C. Koep, James Martell Martin
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-03484 | 11/09/2020 | Claimant(s): Atul Bhatia
Claimant Lawyers(s): Atul Kumar Bhatia
Respondent(s): EFG Capital International
Respondent Lawyers(s): Jonathan S. Robbins
Arbitrator(s): James A. Lundberg, Peter N. Thompson, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 17-02974 | 09/16/2019 | Claimant(s): Diana Peterson
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Roger George Lindquist, Peter N. Thompson, Nell Mathews
Hearing Site: Minneapolis, MN
| | |
| 18-03936 | 05/06/2019 | Claimant(s): Bradley Childs
Claimant Lawyers(s): Bradley D. Childs
Respondent(s): Silber Bennett Financial.
Respondent Lawyers(s): Jamie Bennett
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 18-00053 | 10/26/2018 | Claimant(s): Mark Stephan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 18-00484 | 09/07/2018 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Miller Johnson Steichen Kinnard.
Respondent Lawyers(s): William M. Goblirsch
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 17-03018 | 08/07/2018 | Claimant(s): Sean McDermott
Claimant Lawyers(s): Armin Sarabi
Respondent(s): LPL Financial LLC, Securities America.
Respondent Lawyers(s): Christina M. Heller, Jon D. Kaplon
Arbitrator(s): Peter N. Thompson
Hearing Site: Minneapolis, MN
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