| 17-03187 | 03/07/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Deborah Dodson
Respondent Lawyers(s): Deborah Jean Dodson
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
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| 12-04229 | 08/19/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Joshua Parke
Respondent Lawyers(s): Joshua Adam Parke
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 12-01443 | 03/25/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Rebecca R. Cusick
Respondent(s): Ronald Lachini
Respondent Lawyers(s): Ronald A Lachini
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 12-03111 | 01/31/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Eric Lenze
Respondent Lawyers(s): Eric T. Lenze
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 11-00526 | 03/26/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Joseph Truglio
Respondent Lawyers(s): Joseph Ted Truglio
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 10-05132 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Maehl
Respondent Lawyers(s): Michael Maehl
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 09-04019 | 07/30/2010 | Claimant(s): Marcia Baker
Claimant Lawyers(s): Al Van Kampen
Respondent(s): William Savary, Global Trading Group.
Respondent Lawyers(s): William Savary
Arbitrator(s): Thomas R. Dreiling, Kim D. Stephens, Courtland T. Shafer
Hearing Site: Seattle, WA
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