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FINRA Awards for Portland, OR

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Displaying 171-180 out of 183 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0473606/26/2009Claimant(s): Strand, Atkinson, Williams & York., Umpqua Holdings Corporation
Claimant Lawyers(s): Bruce L. Campbell, Justin C. Sawyer
Respondent(s): Adriel Gaines, Bradford Wear, Brian Schuler, Douglas Strand, John York, Morgan Stanley & Co., Norman Fincher
Respondent Lawyers(s): Peter M. Vial, Robert D. Stewart, Thomas V. Dulcich
Arbitrator(s): Justine Fischer, Gary F. Purpura, Gregory N. Smith
Hearing Site: Portland, OR
09-0147306/26/2009Claimant(s): Strand, Atkinson, Williams & York.
Claimant Lawyers(s): Justin C. Sawyer
Respondent(s): Norman Fincher
Respondent Lawyers(s): Robert D. Stewart
Arbitrator(s):
Hearing Site: Portland, OR
09-0147506/26/2009Claimant(s): Strand, Atkinson, Williams & York.
Claimant Lawyers(s): Justin C. Sawyer
Respondent(s): Bradford Wear
Respondent Lawyers(s): Peter M. Vial
Arbitrator(s):
Hearing Site: Portland, OR
07-0227612/03/2008Claimant(s): Judith L. Chiosso Glass, IRA, Judith L. Chiosso Glass Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Russell Kautz, Stanley Brooks, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Robert E.L. Bonaparte, Gary F. Purpura, Daniel B. MacLeod
Hearing Site: Portland, OR
Checkmark Icon$600,000
08-0047811/20/2008Claimant(s): Paulson Investment Company.
Claimant Lawyers(s): Keith A. Ketterling
Respondent(s): Jason Swan
Respondent Lawyers(s): Jason R. Swan
Arbitrator(s): Alan J. Duncan
Hearing Site: Portland, OR
07-0279210/30/2008Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Stephen Brown
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Gregory L. Abbott, Grant E. Griffith, Michael G. Hanlon
Hearing Site: Portland, OR
07-0034810/07/2008Claimant(s): Herald Curtis Levy IRA
Claimant Lawyers(s): Mark Wilson
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Joseph W. Cheek, Bert P. Krages, William H. King
Hearing Site: Portland, OR
Checkmark Icon$121,780
07-0338206/16/2008Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Angela Jordison
Respondent Lawyers(s): Angela Jordison
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
03-0868806/10/2008Claimant(s): Jordan Gates
Claimant Lawyers(s): Michael C. Lewton
Respondent(s): Allmerica Financial Corporation, Allmerica Financial Life Ins & Annuity, Allmerica Investment Management Co., Veravest Investment Advisors., Veravest Investments.
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): William J. Chambers, James John Jurinski, Christopher C. S. Blattner
Hearing Site: Portland, OR
07-0212904/24/2008Claimant(s): Paulson Investment Company
Claimant Lawyers(s): Emily S. Courtnage
Respondent(s): Brian Kirk
Respondent Lawyers(s): Brian L. Kirk
Arbitrator(s): O. Meredith Wilson, Nelson Olf, Burton LaVon Beahm
Hearing Site: Portland, OR

183 Results

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