| 10-02683 | 05/08/2012 | Claimant(s): Claire Goldsmith, Claire F Goldsmith Living Trust
Claimant Lawyers(s): Richard M. Layne
Respondent(s): Gary Vanden Busch, Sagepoint Financial.
Respondent Lawyers(s): Gary William Vanden Busch, Usman S. Mohammed
Arbitrator(s): Justine Fischer, Larry T. Coady, James H Ruff
Hearing Site: Portland, OR
|  | $123,214 |
| 10-04433 | 04/27/2012 | Claimant(s): Paul Daffer
Claimant Lawyers(s): Paul Daffer
Respondent(s): Shawn Mangum, William Mouat, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Justine Fischer, R. Lee Smith, Bernard F. Vail
Hearing Site: Portland, OR
| | $0 |
| 11-02343 | 04/18/2012 | Claimant(s): Dorothy Bruss, Leo Bruss
Claimant Lawyers(s): Jan K. Kitchel
Respondent(s): Lee Gold, Steven Simone
Respondent Lawyers(s): Lee Alexander Gold, Steven John Simone
Arbitrator(s): Robert S. Banks, Mark A. Friel, John Goble Crawford
Hearing Site: Portland, OR
| | $226,576 |
| 11-00627 | 10/21/2011 | Claimant(s): Gary Maxwell
Claimant Lawyers(s): Gary R. Maxwell
Respondent(s): Daniel Ahmad
Respondent Lawyers(s): Daniel Shiek Ahmad
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | Stipulated Award |
| 10-01725 | 10/04/2011 | Claimant(s): Jim Brogden Revocable Living Trust, Lynn Brogden Revocable Living Trust
Claimant Lawyers(s): Yoona Park
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Randall Stender
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): John F. Harris, William B. Kirby, Robert Sachs Mandelson
Hearing Site: Portland, OR
| | $189,984 |
| 11-00018 | 09/20/2011 | Claimant(s): Jan Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, Jan E. Harris-Kimball, IRA
Claimant Lawyers(s): Jan E. Harris-Kimball
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $213 |
| 09-05377 | 05/26/2011 | Claimant(s): Charlotte Hunt, Roderick Hunt
Claimant Lawyers(s): Keil M. Mueller
Respondent(s): Anthony Lodati, Jeffrey Offen, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Jeffrey L. Offen
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | Expungement |
| 10-02881 | 05/03/2011 | Claimant(s): Steven Minar
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel B. MacLeod, Joseph W. Cheek, James E. Bartels
Hearing Site: Portland, OR
| | Expungement |
| 10-01590 | 04/06/2011 | Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 09-07099 | 03/11/2011 | Claimant(s): Daniel Bishop
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Vicki Moffatt, AFS Brokerage., Evolve Securities.
Respondent Lawyers(s): Kenneth Shade, Vicki Lee Moffatt
Arbitrator(s): O. Meredith Wilson, George R. Milne, William H. King
Hearing Site: Portland, OR
| | $0 |
