| 10-03023 | 01/19/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Ronald Hyde
Respondent Lawyers(s): Ronald M. Hyde
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Portland, OR
| | |
| 11-02530 | 11/16/2011 | Claimant(s): Umpqua Investments.
Claimant Lawyers(s): Ky Fullerton
Respondent(s): Gregory Dostert
Respondent Lawyers(s): Jeffrey A. Long
Arbitrator(s): Michael G. Hanlon
Hearing Site: Portland, OR
| | |
| 11-00171 | 11/03/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Ryan Cole
Respondent Lawyers(s): Ryan Patrick Cole
Arbitrator(s): John A. Bender
Hearing Site: Portland, OR
| | |
| 11-00627 | 10/21/2011 | Claimant(s): Gary Maxwell
Claimant Lawyers(s): Gary R. Maxwell
Respondent(s): Daniel Ahmad
Respondent Lawyers(s): Daniel Shiek Ahmad
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
|  | Stipulated Award |
| 10-01725 | 10/04/2011 | Claimant(s): Jim Brogden Revocable Living Trust, Lynn Brogden Revocable Living Trust
Claimant Lawyers(s): Yoona Park
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Randall Stender
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): John F. Harris, William B. Kirby, Robert Sachs Mandelson
Hearing Site: Portland, OR
| | $189,984 |
| 11-00018 | 09/20/2011 | Claimant(s): Jan Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, Jan E. Harris-Kimball, IRA
Claimant Lawyers(s): Jan E. Harris-Kimball
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $213 |
| 09-05377 | 05/26/2011 | Claimant(s): Charlotte Hunt, Roderick Hunt
Claimant Lawyers(s): Keil M. Mueller
Respondent(s): Anthony Lodati, Jeffrey Offen, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Jeffrey L. Offen
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | Expungement |
| 10-02881 | 05/03/2011 | Claimant(s): Steven Minar
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel B. MacLeod, Joseph W. Cheek, James E. Bartels
Hearing Site: Portland, OR
| | Expungement |
| 10-04283 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Tony Barbisan
Respondent Lawyers(s): Tony Carlo Barbisan
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | |
| 10-01590 | 04/06/2011 | Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
