| 15-01362 | 02/02/2016 | Claimant(s): Albert Anhkhoa
Claimant Lawyers(s): Albert Anhkhoa
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Bruce L. Gisi
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
|  | $300 |
| 12-01405 | 09/15/2015 | Claimant(s): Koko Flowers, Thomas E. Flowers Charitable Trust, Koko Fujita Charitable Trust dd 12/31/96, Thomas E. Flowers & Koko Fujita Trust, Thomas E. Flowers Trust dd 9/29/1999
Claimant Lawyers(s): Ann McFarland Draper
Respondent(s): David Gillimore, U.S. Bancorp Investments.
Respondent Lawyers(s): Abe Lampart, Elizabeth M. Hill
Arbitrator(s): Kathryn J. Toronto, Robert M. Smith, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 14-00251 | 08/14/2014 | Claimant(s): Todd Leigh and Lisa Leigh
Claimant Lawyers(s): Todd Leigh
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Charles Orlove
Hearing Site: Indianapolis, IN
| | $0 |
| 13-00324 | 08/19/2013 | Claimant(s): Virginia Nichols
Claimant Lawyers(s): Howard W. Slutsky
Respondent(s): Christopher Roberts, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Kevin R. McDermott
Hearing Site: Columbus, OH
| | $3,713 |
| 11-00917 | 07/13/2012 | Claimant(s): Chongqing Du, Li Zhu
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Herbert S. Bratt, Robert S. Burk, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $300 |
| 10-05533 | 02/28/2012 | Claimant(s): Frank Porco, Mary Porco
Claimant Lawyers(s): Rebecca J. Maziarz
Respondent(s): Thomas Brancazio, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Donald J. Gilbert, Michael C. Hanzel, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $9,357 |
| 10-01456 | 04/26/2011 | Claimant(s): The Estate of Harvey Rosner
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Kristen Hummel, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 09-06806 | 03/25/2011 | Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
| | $48,514 |
| 09-05706 | 09/24/2010 | Claimant(s): The Luckett Family Trust
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | $0 |
