| 14-02916 | 06/08/2016 | Claimant(s): Clayton Strack
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): William Tufts, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): James F. Zotter, William H. King, John A. Cook
Hearing Site: Portland, OR
|  | Expungement |
| 14-03619 | 05/31/2016 | Claimant(s): William Essex
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | Expungement |
| 14-01852 | 05/24/2016 | Claimant(s): William Gilmer, William B. Gilmer Living Trust
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Erinn Ford, Harold Hilton, Jeffrey Sims, Kathleen Lindeke, Leslie Cannon, Mark Mccloskey, Melissa Andrews, Philip Pizelo, Shanon Ford, Clearview Wealth Management, Pacific West Securities., The Estate of Robert A. Cannon
Respondent Lawyers(s): Harold Scott Hilton, John A. Bender, Justin C. Sawyer, Philip Anthony Pizelo
Arbitrator(s): Douglas Martin Crow, Brian B. Egan, Reuel Kenneth Fish
Hearing Site: Portland, OR
| | Expungement |
| 15-01784 | 05/19/2016 | Claimant(s): Mark Altstetter
Claimant Lawyers(s): Mark H. Altstetter
Respondent(s): Englebert Sarmiento, John Matthews
Respondent Lawyers(s): Ian J. Frimet, Ronald S. Herzog
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | $38,428 |
| 13-02320 | 11/25/2015 | Claimant(s): Patrick Boyle
Claimant Lawyers(s): Patrick W. Boyle
Respondent(s): David Matthews
Respondent Lawyers(s): David W. Matthews
Arbitrator(s): Justine Fischer, James E. Bartels, John P. Hughie
Hearing Site: Portland, OR
| | Dismissed by Rule 12206 |
| 14-01970 | 08/04/2015 | Claimant(s): Andrea Madison
Claimant Lawyers(s): Andrea Madison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Linda I. Thomas, Joseph W. Cheek, James F. Zotter
Hearing Site: Portland, OR
| | $0 |
| 13-02785 | 07/14/2015 | Claimant(s): Carol McPherson, Michael McPherson, 1600 Barberry Lane 27, 1600 Barberry Lane 28, Oak Park Office Center 15, Oak Park Office Center 16
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Justine Fischer, Bert P. Krages, Gary L. Vezina
Hearing Site: Portland, OR
| | Expungement |
| 14-00096 | 03/20/2015 | Claimant(s): Kathy Hewkin, Thomas Hewkin, Kathy S. Hewkin IRA, Thomas J. Hewkin IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Daniel B. MacLeod, Nina Vallion, Francis Vincent Dane
Hearing Site: Portland, OR
| | $667,422 |
| 14-01030 | 03/10/2015 | Claimant(s): Jeffrey Wertz, Kathryn Madison
Claimant Lawyers(s): Darlene Pasieczny, Robert S. Banks
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Paul R. Meyer
Hearing Site: Portland, OR
| | $0 |
| 12-03525 | 02/26/2015 | Claimant(s): Beatrice Dohrn, Jennifer Middleton
Claimant Lawyers(s): Leslie Akins
Respondent(s): Michael Myers, SII Investments.
Respondent Lawyers(s): Ryan D. Harvey
Arbitrator(s): Martin Jonathan Barrack, Larry T. Coady, William H. King
Hearing Site: Portland, OR
| | Expungement |
