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FINRA Awards for Portland, OR

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Displaying 51-60 out of 183 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0424207/08/2019Claimant(s): Thomas Walker
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul A. Yarns
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Portland, OR
18-0206504/23/2019Claimant(s): George Kane
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Larry T. Coady, James John Jurinski, Justin Kurt Kraemer
Hearing Site: Portland, OR
Checkmark IconDismissed by Rule 12206/12504
18-0383904/22/2019Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E Dennis
Respondent(s): Keith Guy
Respondent Lawyers(s): Keith Lee Guy
Arbitrator(s): Sterling N. Frost
Hearing Site: Portland, OR
18-0377504/16/2019Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Duncan Sandlin
Respondent Lawyers(s): Duncan Tyrel Sandlin
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Portland, OR
18-0260503/01/2019Claimant(s): Steven Burch
Claimant Lawyers(s): Steven Carlon Burch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
Checkmark IconExpungement
17-0341502/27/2019Claimant(s): Daniel Ruediger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
18-0094102/14/2019Claimant(s): Roger Blythe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
17-0256701/14/2019Claimant(s): Michael Clancy
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
18-0233411/21/2018Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Robert Norton
Respondent Lawyers(s): Robert Telford Norton
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Portland, OR
18-0045310/05/2018Claimant(s): Brian Nelson
Claimant Lawyers(s): Mark Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR

183 Results

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