| 11-01491 | 09/14/2012 | Claimant(s): Mark Dickman
Claimant Lawyers(s): Cindy Peters
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Lisa Shusterman, Debora A. Caley, Jeff VanWay
Hearing Site: Cincinnati, OH
| | |
| 12-01261 | 09/14/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Kent Chung
Respondent Lawyers(s): Michael A. Gould
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | |
| 12-00774 | 08/21/2012 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Babak G. Yousefzadeh
Respondent(s): Dennis Quan
Respondent Lawyers(s): Dennis Christopher Quan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 11-00917 | 07/13/2012 | Claimant(s): Chongqing Du, Li Zhu
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Herbert S. Bratt, Robert S. Burk, Grant D. Sanders
Hearing Site: Des Moines, IA
|  | $300 |
| 10-05533 | 02/28/2012 | Claimant(s): Frank Porco, Mary Porco
Claimant Lawyers(s): Rebecca J. Maziarz
Respondent(s): Thomas Brancazio, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Donald J. Gilbert, Michael C. Hanzel, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | $0 |
| 11-04123 | 12/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
| | |
| 10-04720 | 08/05/2011 | Claimant(s): Paul Jarvis
Claimant Lawyers(s): Paul Victor Jarvis
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Erin Davenport
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | |
| 10-03809 | 05/03/2011 | Claimant(s): Richard Brownstein
Claimant Lawyers(s): Richard J. Brownstein
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Jill Y. Coen
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $9,357 |
| 10-01456 | 04/26/2011 | Claimant(s): The Estate of Harvey Rosner
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): Kristen Hummel, U.S. Bancorp Investments.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cleveland, OH
| | $0 |
| 09-06806 | 03/25/2011 | Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
| | $48,514 |
