| 15-02744 | 03/22/2017 | Claimant(s): Bernard Revocable Living Trust
Claimant Lawyers(s): Mary Cate Cicero
Respondent(s): Cesar Rodriguez, David Allen, Michael Clements, Avenir Financial Group
Respondent Lawyers(s): Cesar Rodriguez, David Allen, Michael Todd Clements, Michael Clements, CCO
Arbitrator(s): Lawrence R. Commers, Michael Allen Meixner, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
|  | $250,180 |
| 13-02569 | 11/13/2015 | Claimant(s): Michelle Petersen
Claimant Lawyers(s): Brock J. Specht
Respondent(s): Allianz Life Financial Services
Respondent Lawyers(s): Jodie F. Weinstein
Arbitrator(s): Lawrence R. Commers, Robert Lee Nelson, Robert Drae Venters
Hearing Site: Minneapolis, MN
| | |
| 14-02900 | 10/26/2015 | Claimant(s): Howard Eugene Rude
Claimant Lawyers(s): Randall Place
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Lawrence R. Commers, Stephen C. Esposito, Douglas J. Nesbit
Hearing Site: Des Moines, IA
| | Expungement |
| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
| | |
| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | |
| 12-03331 | 08/18/2014 | Claimant(s): Alice Haverstock, Diane Nelson, Judd Broyer, Marian Broyer, Broson Investment
Claimant Lawyers(s): Daniel B. Lipson
Respondent(s): Peter Voldness, Emergent Financial Group.
Respondent Lawyers(s): Randy J. Sparling
Arbitrator(s): Lawrence R. Commers, Emily B. Boote, John B. Orenstein
Hearing Site: Minneapolis, MN
| | $0 |
| 11-01646 | 01/30/2013 | Claimant(s): Abby Vander Linden, Christopher Vander Linden, Donna Vander Linden, Leon Linden, Todd Linder Linden, Tricia Vander Linden
Claimant Lawyers(s): Fred Coats
Respondent(s): Billy Markve
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James A. Lundberg, Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | Expungement |
| 10-03348 | 12/14/2011 | Claimant(s): Pruco Securities, Prudential Insurance Agency, The Purdential Insurance Co. of America
Claimant Lawyers(s): Stephen Castaldo
Respondent(s): Douglas Inlay
Respondent Lawyers(s): Douglas E. Inlay
Arbitrator(s): Thomas F. Mahoney, Lawrence R. Commers, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | |
| 09-03577 | 05/19/2010 | Claimant(s): Richard Johnson
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Michael Wittenberg
Respondent Lawyers(s): Michael Scott Wittenberg
Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $170,521 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
