22-02412 | 05/18/2023 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Bruce W. Barnes Respondent(s): DeVere Dudley Respondent Lawyers(s): DeVere Scott Dudley Arbitrator(s): James F. Zotter Hearing Site: Seattle, WA
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19-02015 | 03/17/2020 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): J. Scott Pritchard Respondent(s): Karin Berkholtz Respondent Lawyers(s): Karin Berkholtz Arbitrator(s): Jonathan W. Kaiser, James F. Zotter, Donald H. Mullins Hearing Site: Seattle, WA
| | $418,600 |
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 |
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 |
14-01970 | 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 |
14-00378 | 03/20/2015 | Claimant(s): Shannon Soqui Claimant Lawyers(s): Shannon Soqui Respondent(s): Joseph Dimauro, Michael Clark, Clark Dodge & Co.. Respondent Lawyers(s): Frank J. Franzino, Michael Kevin Clark Arbitrator(s): Robert S. Banks, James F. Zotter, John P. Hughie Hearing Site: Portland, OR
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13-03121 | 07/14/2014 | Claimant(s): Anthony Lodati Claimant Lawyers(s): Brett D. Zinner Respondent(s): Charlotte Hunt, Roderick Hunt Respondent Lawyers(s): Roderick Hunt Arbitrator(s): Mark Lee Haggard, James F. Zotter, D. Ann Degenshein Hearing Site: Portland, OR
| | Expungement |
12-00658 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Steven Sanders Respondent Lawyers(s): J. Ryan Kirchoff Arbitrator(s): James F. Zotter Hearing Site: Portland, OR
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11-00432 | 01/31/2012 | Claimant(s): Bobby Hayes, Bobby L. Hayes Living Trust Claimant Lawyers(s): Thomas C. Bradley Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric A. Herzog Arbitrator(s): Richard B. Bullock, Martin J. Kotowski, James F. Zotter Hearing Site: Reno, NV
| | $1,377,000 |
06-03854 | 11/30/2007 | Claimant(s): Margie Aguirre Claimant Lawyers(s): Linda M. Deola Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Jeanne M. Bender Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter Hearing Site: Helena, MT
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