| 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 |
| 13-03314 | 12/23/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michelle Powlison
Respondent Lawyers(s): Michelle Renae Powlison
Arbitrator(s): O. Meredith Wilson, John F. Harris, Keith C. Folkman
Hearing Site: Portland, OR
| | |
| 14-00454 | 12/10/2014 | Claimant(s): Tuyen Ta
Claimant Lawyers(s): Tuyen Max Ta
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): O. Meredith Wilson
Hearing Site: Portland, OR
| | $38 |
| 12-01195 | 11/21/2014 | Claimant(s): Kenneth Janoff
Claimant Lawyers(s): John H. Chambers
Respondent(s): UBS Financial Services Inc., Mark Loder
Respondent Lawyers(s): Robert J. Bocko, Thomas T. Loder
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | Expungement |
| 14-01587 | 11/11/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Corey Levine
Respondent Lawyers(s): Corey Scott Levine
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | |
| 13-03560 | 11/04/2014 | Claimant(s): Lawrence Nagel
Claimant Lawyers(s): Lawrence D. Nagel
Respondent(s): Morgan Stanley, Peter Sage
Respondent Lawyers(s): William Hohauser
Arbitrator(s): O. Meredith Wilson
Hearing Site: Portland, OR
| | $0 |
| 13-02434 | 10/21/2014 | Claimant(s): Seone Miller
Claimant Lawyers(s): Karola Crothers
Respondent(s): Citigroup Global Markets., James Frank
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Wendy L. Harris, Linda I. Thomas, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 14-00355 | 08/25/2014 | Claimant(s): Timothy Lee
Claimant Lawyers(s): Timothy Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Megan A. Lamberti
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 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 |
| 12-02868 | 06/06/2014 | Claimant(s): Gregory Barker
Claimant Lawyers(s): John Balitis
Respondent(s): 1st Global.
Respondent Lawyers(s): Stephanie P. Berntsen
Arbitrator(s): O. Meredith Wilson, Michael John Scott, Trent Thomas Whitford
Hearing Site: Portland, OR
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