| 14-00096 | 03/20/2015 | Claimant(s): Kathy Hewkin, Thomas Hewkin, Kathy S. Hewkin IRA, Thomas J. Hewkin IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Daniel B. MacLeod, Nina Vallion, Francis Vincent Dane
Hearing Site: Portland, OR
|  | $667,422 |
| 12-01653 | 08/27/2013 | Claimant(s): Daniel Dickau, Heather Dickau
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Daniel B. MacLeod, Thomas R. Dreiling, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $220,300 |
| 12-00383 | 05/31/2013 | Claimant(s): Gerard Murphy and Christina B. Murphy
Claimant Lawyers(s): Shawn C. Maybon
Respondent(s): David Decker, John Meppen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Seymour A. Kolman, Daniel B. MacLeod, Robert Sachs Mandelson
Hearing Site: Boise, ID
| | Expungement |
| 10-02881 | 05/03/2011 | Claimant(s): Steven Minar
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Daniel B. MacLeod, Joseph W. Cheek, James E. Bartels
Hearing Site: Portland, OR
| | Expungement |
| 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 |
| 08-00947 | 06/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Mitchell Johnson
Respondent Lawyers(s): Terrance J. Slominski
Arbitrator(s): James A. Bishop, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Portland, OR
| | |
| 07-02276 | 12/03/2008 | Claimant(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
| | $600,000 |
