| 13-00900 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Paul Stafford
Respondent Lawyers(s): Paul Edward Stafford
Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton
Hearing Site: Helena, MT
| | |
| 11-03733 | 06/03/2014 | Claimant(s): Kenneth Schilling, Lesley Schilling, Schilling Livestock.
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Sterling Savings Banc Financial Services, Sterling Savings Bank
Respondent Lawyers(s): Bruce Campbell, Thomas C. Sand
Arbitrator(s): Ross W. Cannon, Francis Joseph Raucci, Joy S. Earls
Hearing Site: Helena, MT
|  | $0 |
| 12-02896 | 01/14/2014 | Claimant(s): Dominick McGrath
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): John F. Cockburn, Judith A. Cochrane, Philip Aaron Tymon
Hearing Site: Helena, MT
| | Expungement |
| 12-04333 | 12/13/2013 | Claimant(s): Brad Johnson
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Keith C. Folkman, Ross W. Cannon, James R. Medley
Hearing Site: Helena, MT
| | Expungement |
| 11-03393 | 06/11/2013 | Claimant(s): Kendall Grumman
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Harbor Financial Services
Respondent Lawyers(s): Bruce L. Campbell
Arbitrator(s): Gerald D. Wygant, John F. Harris, James R. Medley
Hearing Site: Helena, MT
| | Stipulated Award and Expungement |
| 12-00792 | 09/05/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Thomas Staples
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | |
| 11-03296 | 08/10/2012 | Claimant(s): The Estate of Fern B. Heaton
Claimant Lawyers(s): Terance P. Perry
Respondent(s): Ameriprise Financial Services., Jared Losing
Respondent Lawyers(s): Howard M. Klausmeier, Susan E. Sheely
Arbitrator(s): Bernard F. Vail
Hearing Site: Helena, MT
| | $0 |
| 10-05640 | 04/05/2012 | Claimant(s): Nathan Goodman
Claimant Lawyers(s): Nathan D. Goodman
Respondent(s): Scott Wick, RBC Capital Markets
Respondent Lawyers(s): Donald S. Arbour
Arbitrator(s): Gerald D. Wygant, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Helena, MT
| | $0 |
| 10-04616 | 02/07/2012 | Claimant(s): Helen Tommerup, Randall Tommerup, H. Tommerup-Arrowhead, H. Tommerup-Executive Park, R. Tommerup-Arrowhead, R. Tommerup-Executive Park
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Melvin Day, Waveland Capital Partners LLC
Respondent Lawyers(s): Dennis James, Jeffrey S. Kob
Arbitrator(s): Keith C. Folkman, Laurie E. Law, Steven Thomas Larsen
Hearing Site: Helena, MT
| | $328,875 |
| 10-01032 | 06/20/2011 | Claimant(s): Clarence Frisbee
Claimant Lawyers(s): Clarence S. Frisbee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Burns
Arbitrator(s): William B. Kirby
Hearing Site: Helena, MT
| | |
