| 08-00064 | 11/18/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kendall Blunt
Respondent Lawyers(s): John T. Carr
Arbitrator(s): Marvin G. Breen, Joyce L. Tyler, Alan Reginald Doe
Hearing Site: Portland, OR
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| 07-01890 | 09/02/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Minervini
Respondent Lawyers(s): Roger Hennagin
Arbitrator(s): Robert E.L. Bonaparte, James John Jurinski, John Edward Bersin
Hearing Site: Portland, OR
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| 08-00947 | 06/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Mitchell Johnson
Respondent Lawyers(s): Terrance J. Slominski
Arbitrator(s): James A. Bishop, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Portland, OR
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| 08-04736 | 06/26/2009 | Claimant(s): Strand, Atkinson, Williams & York., Umpqua Holdings Corporation
Claimant Lawyers(s): Bruce L. Campbell, Justin C. Sawyer
Respondent(s): Adriel Gaines, Bradford Wear, Brian Schuler, Douglas Strand, John York, Morgan Stanley & Co., Norman Fincher
Respondent Lawyers(s): Peter M. Vial, Robert D. Stewart, Thomas V. Dulcich
Arbitrator(s): Justine Fischer, Gary F. Purpura, Gregory N. Smith
Hearing Site: Portland, OR
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| 09-01473 | 06/26/2009 | Claimant(s): Strand, Atkinson, Williams & York.
Claimant Lawyers(s): Justin C. Sawyer
Respondent(s): Norman Fincher
Respondent Lawyers(s): Robert D. Stewart
Arbitrator(s):
Hearing Site: Portland, OR
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| 09-01475 | 06/26/2009 | Claimant(s): Strand, Atkinson, Williams & York.
Claimant Lawyers(s): Justin C. Sawyer
Respondent(s): Bradford Wear
Respondent Lawyers(s): Peter M. Vial
Arbitrator(s):
Hearing Site: Portland, OR
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| 08-00478 | 11/20/2008 | Claimant(s): Paulson Investment Company.
Claimant Lawyers(s): Keith A. Ketterling
Respondent(s): Jason Swan
Respondent Lawyers(s): Jason R. Swan
Arbitrator(s): Alan J. Duncan
Hearing Site: Portland, OR
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| 07-02792 | 10/30/2008 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Stephen Brown
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Gregory L. Abbott, Grant E. Griffith, Michael G. Hanlon
Hearing Site: Portland, OR
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| 07-03382 | 06/16/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Angela Jordison
Respondent Lawyers(s): Angela Jordison
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
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| 03-08688 | 06/10/2008 | Claimant(s): Jordan Gates
Claimant Lawyers(s): Michael C. Lewton
Respondent(s): Allmerica Financial Corporation, Allmerica Financial Life Ins & Annuity, Allmerica Investment Management Co., Veravest Investment Advisors., Veravest Investments.
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): William J. Chambers, James John Jurinski, Christopher C. S. Blattner
Hearing Site: Portland, OR
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