| 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 |
| 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 |
| 12-03720 | 08/16/2013 | Claimant(s): Annie Knight, David Knight
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Paul R. Meyer, William H. King, John Robert Oreskovich
Hearing Site: Portland, OR
| | Expungement |
| 11-03804 | 02/07/2013 | Claimant(s): Joseph Bourland, The Joseph H. Bourland Family Trust
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Joan Flam, Peter Johnson, Professional Asset Management.
Respondent Lawyers(s): Jonathan D. Sweik
Arbitrator(s): Seymour A. Kolman, Douglas Martin Crow, William H. King
Hearing Site: Boise, ID
| | $54,782 |
| 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 |
| 09-02988 | 01/05/2011 | Claimant(s): Ronee Mills
Claimant Lawyers(s): Michael P. Heringer
Respondent(s): Scottrade.
Respondent Lawyers(s): Narcisa Symank
Arbitrator(s): Gary F. Purpura, Katherine H. O'Neil, William H. King
Hearing Site: Helena, MT
| | |
| 07-00348 | 10/07/2008 | Claimant(s): Herald Curtis Levy IRA
Claimant Lawyers(s): Mark Wilson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Joseph W. Cheek, Bert P. Krages, William H. King
Hearing Site: Portland, OR
| | $121,780 |
