| 22-01294 | 08/28/2024 | Claimant(s): Jane Hagelstein, Jane A. Hagelstein Roth IRA
Claimant Lawyers(s): Darlene Pasieczny
Respondent(s): Caryn Alles, Morgan Stanley
Respondent Lawyers(s): Emily Z. Culbertson
Arbitrator(s): John M. Casey, Bryon Scott, Crystal Rose O'Grady
Hearing Site: Portland, OR
|  | $0 |
| 24-00045 | 05/08/2024 | Claimant(s): Jody Noto, Kelly Noto
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s):
Hearing Site: Portland, OR
| | $213 |
| 23-00703 | 01/05/2024 | Claimant(s): David Doumith, Nazim and Elsie Doumith Revocable Trust
Claimant Lawyers(s): J. Kurt Kraemer
Respondent(s): Liberty Capital Investment Corporation
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Thomas R. Dreiling, Ian Matthew Green, Crystal Rose O'Grady
Hearing Site: Portland, OR
| | $0 |
| 23-01904 | 12/18/2023 | Claimant(s): Witzel Living Trust dtd June 13, 1994
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William Nelson
Arbitrator(s): Daniel B. MacLeod, Jay M. Schornstein, Lorena Reynolds
Hearing Site: Portland, OR
| | Dismissed by Rule 12206 |
| 23-00152 | 10/19/2023 | Claimant(s): Jenny Arnot
Claimant Lawyers(s): Jenny Arnot
Respondent(s): Daniel Baldwin, Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Philip Alan Johnson
Hearing Site: Portland, OR
| | $0 |
| 22-00075 | 08/22/2023 | Claimant(s): Allen Chick
Claimant Lawyers(s): David Vermont
Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
| | Expungement |
| 18-03757 | 12/11/2020 | Claimant(s): Allen Chick
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Isidoro Berkman, Reuel Kenneth Fish, Sally Ann LaJoie
Hearing Site: Portland, OR
| | Settlement |
| 18-03452 | 08/13/2019 | Claimant(s): Rao Palanki
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Dustin Martin, Madison Avenue Securities.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Isidoro Berkman, Mark Lee Haggard, Lorena Reynolds
Hearing Site: Portland, OR
| | Expungement |
| 18-02065 | 04/23/2019 | Claimant(s): George Kane
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer
Hearing Site: Portland, OR
| | Dismissed by Rule 12206/12504 |
| 18-02605 | 03/01/2019 | Claimant(s): Steven Burch
Claimant Lawyers(s): Steven Carlon Burch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | Expungement |
