| 23-00703 | 01/05/2024 | Claimant(s): David Doumith, Nazim and Elsie Doumith Revocable Trust
Claimant Lawyers(s): J. Kurt Kraemer
Respondent(s): Liberty Capital Investment Corporation
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Thomas R. Dreiling, Ian Matthew Green, Crystal Rose O'Grady
Hearing Site: Portland, OR
|  | $0 |
| 23-01610 | 01/04/2024 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Andrew Smith
Respondent Lawyers(s): Andrew Smith
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | |
| 23-01904 | 12/18/2023 | Claimant(s): Witzel Living Trust dtd June 13, 1994
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William Nelson
Arbitrator(s): Daniel B. MacLeod, Jay M. Schornstein, Lorena Reynolds
Hearing Site: Portland, OR
| | Dismissed by Rule 12206 |
| 23-02105 | 11/02/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Haley Morrison
Respondent(s): Joseph Di Peri
Respondent Lawyers(s): Joseph J Di Peri
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
| | |
| 23-00152 | 10/19/2023 | Claimant(s): Jenny Arnot
Claimant Lawyers(s): Jenny Arnot
Respondent(s): Daniel Baldwin, Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Philip Alan Johnson
Hearing Site: Portland, OR
| | $0 |
| 22-00075 | 08/22/2023 | Claimant(s): Allen Chick
Claimant Lawyers(s): David Vermont
Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
| | Expungement |
| 22-02086 | 08/10/2023 | Claimant(s): Ryan Jensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
| | |
| 22-00012 | 05/25/2023 | Claimant(s): Damon George
Claimant Lawyers(s): Damon David George
Respondent(s): United Planners' Financial Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Nancy E. Hochman, John M. Casey, Mark Lee Haggard
Hearing Site: Portland, OR
| | |
| 22-01746 | 03/27/2023 | Claimant(s): Patrick Cummings
Claimant Lawyers(s): Brian Neville
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pitzzotola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
| | |
| 22-00284 | 12/13/2022 | Claimant(s): Gerhard Heuer
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Independent Financial Group., Thrivent Investment Management Inc.
Respondent Lawyers(s): Sarah J. Kreisman, Shannon M. Wheaton
Arbitrator(s): Joseph L. Mangan, David William Hickman, Eric A LaBrant
Hearing Site: Portland, OR
| | |
