| 19-02291 | 03/23/2020 | Claimant(s): Tiow Chan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 18-04241 | 07/16/2019 | Claimant(s): Michael Hogan
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 14-02984 | 10/17/2016 | Claimant(s): Jean Kulsrud
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Lavon C. Phillips, Phyllis Karasov, Frank Abramson
Hearing Site: Minneapolis, MN
|  | Expungement |
| 14-03846 | 06/05/2015 | Claimant(s): Charlton Coroni
Claimant Lawyers(s): Charlton Coroni
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $425 |
| 12-01302 | 07/25/2014 | Claimant(s): Jack Dickinson, Dickinson Eagle Ridge, Dickinson East 21st Street
Claimant Lawyers(s): Alan L. Frank
Respondent(s): Bryan Mick, David Theis, Michael Dougherty
Respondent Lawyers(s): David Alan Theis, Jason S. Feinstein, Steven J. Rotunno
Arbitrator(s): James A. Lundberg, Paul J. Hennen, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 12-03748 | 05/28/2013 | Claimant(s): Frederick Kaiser
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $600 |
| 11-03514 | 07/06/2012 | Claimant(s): Randy Lacombe
Claimant Lawyers(s): John A. Nelson
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
