| 10-00948 | 11/01/2010 | Claimant(s): Jean Cleveland
Claimant Lawyers(s): Franklin Jason Seibert
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
|  | $0 |
| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
| 09-06580 | 10/11/2010 | Claimant(s): Thomas Tripp
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Keith C. Folkman, Gary F. Purpura, Gregory N. Smith
Hearing Site: Portland, OR
| | |
| 10-00994 | 09/08/2010 | Claimant(s): Black Rose Equity Management
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Eugene Williams
Respondent Lawyers(s): Eugene Leroy Williams
Arbitrator(s): Michael G. Hanlon
Hearing Site: Portland, OR
| | |
| 08-02847 | 08/31/2010 | Claimant(s): Sharon M. Deming IRA, Deming Family Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
| | $0 |
| 10-00885 | 08/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Feldman
Respondent Lawyers(s): Neal M. Goldstein
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | |
| 09-00711 | 08/18/2010 | Claimant(s): Northern Lights Fund Trust
Claimant Lawyers(s): John Lekas
Respondent(s): Albert Lowenthal, Angus Oughtred, Dennis Mcnamara, Elaine Roberts, Jeffrey Alfano, Oppenheimer & Co.., Lawrence Spaulding
Respondent Lawyers(s): Robert J. Bocko
Arbitrator(s): Joyce L. Tyler, Nancy E. Hochman, Harold J. Schleef
Hearing Site: Portland, OR
| | Stipulated Award and Expungement |
| 09-00417 | 08/12/2010 | Claimant(s): Lorraine Folin, Scott Folin, The Folin Family Trust
Claimant Lawyers(s): P. David Ingalls
Respondent(s): Ronald Tenison
Respondent Lawyers(s): Ronald D. Tenison
Arbitrator(s): John E. Bates, Justine Fischer, Michael G. Hanlon
Hearing Site: Portland, OR
| | $550,000 |
| 09-06746 | 07/28/2010 | Claimant(s): John Tennant
Claimant Lawyers(s): John J. Tennant
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Henry A. Stiles
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | $566 |
| 09-00120 | 07/22/2010 | Claimant(s): Arthur Taub, Carol Page, Donald Shepard, Esther Stevens, Jeffrey Stevens, Nancy Stevens, Suzanne Helgerson, Travis Bryant, Warren Helgerson, Carol A. Page Roth IRA, Arlan and Barbara Pfohl, Arlan L. & Barbara L. Pfohl Family Trus
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, William Betta, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Jason S. Pinney, Kevin K. Fitzgerald, Tracy L. Gerber
Arbitrator(s): Douglas Martin Crow, Joseph W. Cheek, Paul R. Meyer
Hearing Site: Portland, OR
| | Expungement |
