| 17-03016 | 08/24/2018 | Claimant(s): Gary Grenley, Gary Grenley IRA Account
Claimant Lawyers(s): Gary I. Grenley
Respondent(s): National Securities Corporation, Tuan (Peter) Phan
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Peter H. Daly, Francis Vincent Dane, Lawrence William Andrews
Hearing Site: Portland, OR
|  | $0 |
| 16-01066 | 07/19/2018 | Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
| | $8,678,200 |
| 17-02491 | 05/31/2018 | Claimant(s): Marjorie J Hamlin 1990 Trust
Claimant Lawyers(s): Marjorie Wood Hamin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | Expungement |
| 18-00140 | 05/17/2018 | Claimant(s): Bartlett Miller
Claimant Lawyers(s): Bartlett L Miller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | $0 |
| 16-00435 | 02/28/2018 | Claimant(s): James Johnson
Claimant Lawyers(s): William D. Brandt
Respondent(s): Bridgette Justis, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): George King
Hearing Site: Portland, OR
| | Expungement |
| 16-02585 | 12/12/2017 | Claimant(s): Debra Bitney, Debra Bitney Rev. Trust U/A DTD 3/1/11
Claimant Lawyers(s): John W. Stephens
Respondent(s): Morgan Stanley, Michael Louaillier, Morgan Stanley Wealth Management
Respondent Lawyers(s): Lesley Tepper, Thomas V. Dulcich
Arbitrator(s): Barbara M. Anscher, Peter Khalil, Philip Alan Johnson
Hearing Site: Portland, OR
| | $170,362 |
| 16-01261 | 06/27/2017 | Claimant(s): Jan Tullis, Scott Tullis
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Andrew Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Rick D. Hampton, Stephany Adriene Watson, Paul R. Meyer
Hearing Site: Portland, OR
| | $191,772 |
| 16-00590 | 04/19/2017 | Claimant(s): Christopher Klinck, Edward Banning, Katherine Stevenson, Margaret Shea, R. Jenkins, Robert Jenkins, Stutts Farms., Estate of James Stutts, Edward M. Banning Revocable Trust dated, Katherine Stevenson Living Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Source Capital Group.
Respondent Lawyers(s): David Harris
Arbitrator(s): Larry T. Coady, Gary L. Vezina, Val D. Hornstein
Hearing Site: Portland, OR
| | $504,946 |
| 16-02627 | 01/30/2017 | Claimant(s): Ernest Tatyrek
Claimant Lawyers(s): Ernest Ray Tatyrek
Respondent(s): Ervin Decker, J.P. Morgan Securities
Respondent Lawyers(s): Christopher Seps, Michael N. Ungar
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 15-01446 | 09/06/2016 | Claimant(s): Jeffrey Tuttle, Victoria Tuttle, Jeffrey Tuttle IRA, Jill Ryan IRA, Stephen Ryan IRA, Victoria Tuttle FBO Victoria Tuttle IRA, Robert E and Doreen L Ryan Family Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): James Millegan, J.W. Millegan.
Respondent Lawyers(s): Jeanne K. Sinnott
Arbitrator(s): William J. Chambers, Larry T. Coady, Christopher Harding Kent
Hearing Site: Portland, OR
| | $443,000 |
