| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | |
| 08-02240 | 10/12/2009 | Claimant(s): RMD/R Family Ltd. Partnership, Tonka Lakes, The Robert J. Rotenberg 2002 Irvoc Tr
Claimant Lawyers(s): Mark L. Johnson
Respondent(s): Deutsche Bank Securities., Deutsche Bank Alex.Brown
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Judith A. Rogosheske, Brett W. Olander, Patricia S. Bartholomew
Hearing Site: Minneapolis, MN
|  | $315,600 |
| 08-01635 | 04/03/2009 | Claimant(s): Pamela Peterson, Vanky Men, William Peterson
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Jon Berg, Lisa Newman, Marc Kozberg, Michael Leonard, Richard Husebo, Oak Ridge Holding Corporation, The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Christopher A. Grgurich
Arbitrator(s): Lawrence J. Welte, Judith A. Rogosheske, Steven Eric Brandes
Hearing Site: Minneapolis, MN
| | $187,380 |
| 07-02585 | 09/30/2008 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Aaron R. Hartman
Respondent(s): Andrew Bjornlie, James Bjornlie, RBC Dain Rauscher.
Respondent Lawyers(s): Peter J. Meyer
Arbitrator(s): Judith A. Rogosheske, James A. Lundberg, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | |
| 07-02458 | 08/15/2008 | Claimant(s): Amit Sela
Claimant Lawyers(s): Thomas E. Propson
Respondent(s): Jeffrey Schachtman, Oak Ridge Financial Services Group, In
Respondent Lawyers(s): Christopher Grgurich
Arbitrator(s): Judith A. Rogosheske, Andrew R. Dick, Julie A. Hennen
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
