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FINRA Awards for Phyllis Karasov

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0297106/04/2024Claimant(s): Bryan Knudson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Des Moines, IA
23-0147705/09/2024Claimant(s): Joseph Swanson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
23-0230604/02/2024Claimant(s): Timothy Derouin
Claimant Lawyers(s): Patrick E. Brookhouser
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson
Hearing Site: Des Moines, IA
22-0150408/24/2023Claimant(s): Terrence Ransom
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Richard Gozola
Respondent Lawyers(s): Richard W. Gozola
Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov
Hearing Site: Minneapolis, MN
Checkmark IconExpungement
21-0255108/15/2022Claimant(s): Joseph Dixon
Claimant Lawyers(s): Joseph O. Dixon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Barry Goldman, Phyllis Karasov, Allan Witz
Hearing Site: Minneapolis, MN
Checkmark IconDismissed by Rule 12504
21-0029601/21/2022Claimant(s): Marjorie Ullerich
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Phyllis Karasov, Michael S. Jordan, Alain Frecon
Hearing Site: Minneapolis, MN
Checkmark Icon$170,425
19-0057108/04/2021Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
Checkmark Icon$939,300
20-0002412/14/2020Claimant(s): Deborah Sandeno
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Lisa M. Lamm Bachman
Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson
Hearing Site: Minneapolis, MN
20-0166211/25/2020Claimant(s): Michael Schumacher
Claimant Lawyers(s): Christopher R. Sall
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
19-0234506/01/2020Claimant(s): Jay Thorp
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Phyllis Karasov, Grant D. Sanders, Buffie Ann Blesi
Hearing Site: Minneapolis, MN

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