| 12-00553 | 09/19/2012 | Claimant(s): Charlene Carter, Jennifer Hector
Claimant Lawyers(s): G. Thomas Fleming III, Kasumi Takahashi
Respondent(s): Blake Fry
Respondent Lawyers(s): Blake A. Fry
Arbitrator(s): O. Meredith Wilson
Hearing Site: Portland, OR
| | Expungement |
| 12-01198 | 09/04/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Samuel McCormick
Respondent Lawyers(s): Samuel Troy McCormick
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
| | |
| 11-00626 | 08/30/2012 | Claimant(s): Joan Kushner, Michael and Elizabeth Eggiman Living Tru
Claimant Lawyers(s): Paul H. Trinchero
Respondent(s): Wedbush Securities Inc., Scott Sideras, William Richardson
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): F. Richard Middaugh, Mark Lee Haggard, Charles Edward Corrigan
Hearing Site: Portland, OR
|  | $329,239 |
| 12-00075 | 08/01/2012 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Donald Watson
Respondent Lawyers(s): Donald Watson
Arbitrator(s): Douglas Martin Crow
Hearing Site: Portland, OR
| | |
| 10-04028 | 06/08/2012 | Claimant(s): Susan Biles, SGB Springfield, SGB-Landmark Towers LLC, SGB-Village at Old Trace LLC
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): James Franceus, Crown Capital Securities, L.P., Summit Financial Advisors.
Respondent Lawyers(s): Tanya Durkee Urbach
Arbitrator(s): R. Lee Smith, Paul R. Meyer, Harold J. Schleef
Hearing Site: Portland, OR
| | $5,793 |
| 11-04314 | 05/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | |
| 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 |
| 11-03197 | 02/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Shawn Higley
Respondent Lawyers(s): Shawn Orin Higley
Arbitrator(s): Bernard F. Vail
Hearing Site: Portland, OR
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