| 17-03016 | 08/24/2018 | Claimant(s): Gary Grenley, Gary Grenley IRA Account
Claimant Lawyers(s): Gary I. Grenley
Respondent(s): National Securities Corporation, Tuan (Peter) Phan
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Peter H. Daly, Francis Vincent Dane, Lawrence William Andrews
Hearing Site: Portland, OR
|  | $0 |
| 16-01066 | 07/19/2018 | Claimant(s): Sammy Duncan, Sylvia Duncan, The Sammy and Sylvia Duncan Revocable Tr
Claimant Lawyers(s): Scott Abeles
Respondent(s): Wells Fargo Advisors, Marc Rogers
Respondent Lawyers(s): Sara Soto
Arbitrator(s): James F. Zotter, Robert David Miller, Matthew Swihart
Hearing Site: Portland, OR
| | $8,678,200 |
| 17-02491 | 05/31/2018 | Claimant(s): Marjorie J Hamlin 1990 Trust
Claimant Lawyers(s): Marjorie Wood Hamin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | Expungement |
| 18-00140 | 05/17/2018 | Claimant(s): Bartlett Miller
Claimant Lawyers(s): Bartlett L Miller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
| | $0 |
| 17-01823 | 04/06/2018 | Claimant(s): Michael Clancy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Y. Lin, Stuart D. Roberts
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | |
| 16-00435 | 02/28/2018 | Claimant(s): James Johnson
Claimant Lawyers(s): William D. Brandt
Respondent(s): Bridgette Justis, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): George King
Hearing Site: Portland, OR
| | Expungement |
| 17-01659 | 02/16/2018 | Claimant(s): Douglas Eikenberry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | |
| 17-02419 | 01/26/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holding LLC
Claimant Lawyers(s): Shannon McDougald
Respondent(s): Andrew Kalpakis
Respondent Lawyers(s): Andrew Kalpakis
Arbitrator(s): Sterling N. Frost
Hearing Site: Portland, OR
| | |
| 16-02585 | 12/12/2017 | Claimant(s): Debra Bitney, Debra Bitney Rev. Trust U/A DTD 3/1/11
Claimant Lawyers(s): John W. Stephens
Respondent(s): Morgan Stanley, Michael Louaillier, Morgan Stanley Wealth Management
Respondent Lawyers(s): Lesley Tepper, Thomas V. Dulcich
Arbitrator(s): Barbara M. Anscher, Peter Khalil, Philip Alan Johnson
Hearing Site: Portland, OR
| | $170,362 |
| 17-00309 | 09/12/2017 | Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
| | |
