| 12-03590 | 04/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Victor Valdez
Respondent Lawyers(s): Victor Valdez
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 12-03103 | 02/13/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Mark Green
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Monette E. Draper
Hearing Site: St. Louis, MO
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| 12-00851 | 02/12/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Kofron
Respondent Lawyers(s): Matthew Mark Kofron
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
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| 12-02321 | 02/04/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s): Shayne Layton
Respondent Lawyers(s): Shayne Christopher Layton
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
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| 12-00964 | 10/16/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Matthew McConnell
Respondent(s): David Kingsley
Respondent Lawyers(s): David Maitland Kingsley
Arbitrator(s): Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 12-00857 | 10/12/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
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| 11-01491 | 09/14/2012 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
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| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 12-00774 | 08/21/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak G. Yousefzadeh
Respondent(s): Dennis Quan
Respondent Lawyers(s): Dennis Christopher Quan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 11-04123 | 12/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
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