| 09-04962 | 04/04/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Erenfeld
Respondent Lawyers(s): David Sacks
Arbitrator(s): Jeanne C. Stilwell, Joseph W. Cheek, Dean K. Morell
Hearing Site: Portland, OR
| | |
| 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 |
| 09-03541 | 01/26/2011 | Claimant(s): Jonathan Zingeser
Claimant Lawyers(s): Irwin Stein
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Harvey R. Herman
Arbitrator(s): Justine Fischer, Gary L. Vezina, John Robert Oreskovich
Hearing Site: Portland, OR
| | Expungement |
| 10-00889 | 01/24/2011 | Claimant(s): Black Rose Equity Management LLC
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Donald Williams
Respondent Lawyers(s): Donald Erick Williams
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | |
| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | |
| 10-02475 | 12/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joel Davis
Respondent Lawyers(s): Joel Bernard Davis
Arbitrator(s): Robert M. Stein
Hearing Site: Portland, OR
| | |
| 09-05470 | 12/13/2010 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChausse
Respondent(s): Knut Eie
Respondent Lawyers(s): Knut Ferdinand Eie
Arbitrator(s): Martin Mandel
Hearing Site: Portland, OR
| | |
| 08-02047 | 12/08/2010 | Claimant(s): Richard Ng, Hasong J. and Jin Yung Pak
Claimant Lawyers(s): Justine Fischer
Respondent(s): Jung Kim aka Jay Kim, GlobalVest Group. n/k/a GLB Trading, Vision Securities Inc.
Respondent Lawyers(s): Ivan Luburic, Jung Han Kim, Lori S. Varaich
Arbitrator(s): Gregory L. Abbott, William J. Chambers, Larry T. Coady
Hearing Site: Portland, OR
| | $565,092 |
| 08-03886 | 11/18/2010 | Claimant(s): Melinda Johnson, Mitchell Johnson
Claimant Lawyers(s): Terrance J. Slominski
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Michael D. Weiner, Nina Vallion, Bert P. Krages
Hearing Site: Portland, OR
| | $22,397 |
| 10-01287 | 11/09/2010 | Claimant(s): Wesley Olson
Claimant Lawyers(s): Jeffrey S. Salisbury
Respondent(s): Joe Lee, Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore, Niels P. Murphy
Arbitrator(s): Justine Fischer
Hearing Site: Portland, OR
| | $213 |
