| 12-02901 | 01/10/2014 | Claimant(s): Louisa Alben IRA, Louisa Alben Living Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brad Jacobs
Arbitrator(s): Jack D. Elmquist, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
|  | Expungement |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
| 11-02451 | 04/17/2013 | Claimant(s): KRI Investments Limited, KRI Investment Limited Partnership, Richard G & Kathleen Werner Limited Part
Claimant Lawyers(s): Richard Sacks
Respondent(s): Angelo Piciucco, Kelly Ullom, Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw, Michael J. Steinlage
Arbitrator(s): Peter N. Thompson, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | Expungement |
| 11-01872 | 12/14/2012 | Claimant(s): Barbara Istas, James Istas
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Andrew R. Dick, Peter N. Thompson, Brett W. Olander
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-01502 | 06/21/2011 | Claimant(s): Thomas Laird
Claimant Lawyers(s): David E. Schlesinger
Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | |
| 09-04484 | 12/14/2010 | Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | $0 |
| 09-03579 | 05/27/2010 | Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
| | $238,113 |
