| 16-02759 | 12/28/2018 | Claimant(s): Denise Badgerow
Claimant Lawyers(s): Amanda J. Butler
Respondent(s): Gregory Walters, Ameriprise Financial Services., Ray Trosclair, Thomas Meyer
Respondent Lawyers(s): Claude F. Reynaud, Melissa Raphan, Thomas A. Roberts
Arbitrator(s): James L. Warren, Mario Alberto Arteaga, Joseph Michael Prisco
Hearing Site: New Orleans, LA
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| 14-03702 | 06/09/2016 | Claimant(s): Christopher Bibow
Claimant Lawyers(s): Donald L. Rhoads
Respondent(s): Thrivent Investment Management Inc., Thrivent Financial for Lutherans
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Linda Yarden, Ellyn S. Roth
Hearing Site: New York, NY
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| 13-03227 | 05/18/2015 | Claimant(s): Cindy Shi
Claimant Lawyers(s): Cindy Shu-Way Shi
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Nicholas J. Caputo, Carol Ann Jensen, Sarah Jane Militello
Hearing Site: San Francisco, CA
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| 08-00826 | 07/27/2009 | Claimant(s): Deborah Pederson
Claimant Lawyers(s): William J. Egan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Melissa Raphan
Arbitrator(s): Joyce G. Gordon, Arthur Richard Tow, Brett W. Olander
Hearing Site: Minneapolis, MN
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