| 17-00550 | 09/29/2017 | Claimant(s): Mark Graham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
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| 16-00949 | 07/11/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Valery Gurin
Respondent Lawyers(s): Valery Vitalievich Gurin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 16-03194 | 06/26/2017 | Claimant(s): Dale Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets Inc.
Respondent Lawyers(s): David I. Hantman, Valerie I. Holder
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Seattle, WA
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| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
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| 15-01083 | 04/05/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): William Krueger
Respondent Lawyers(s): Michael C. Bolasina
Arbitrator(s): Isidoro Berkman
Hearing Site: Seattle, WA
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| 14-01448 | 04/26/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Scott Maloy
Respondent Lawyers(s): Scott D. Maloy
Arbitrator(s): Lawrence E. Little, Kay A. Johnson, CRCP, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
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| 15-02424 | 04/13/2016 | Claimant(s): Christy Gatien
Claimant Lawyers(s): Julie T. Burrow
Respondent(s): Peggy Fowler
Respondent Lawyers(s): Peggy Fowler
Arbitrator(s): Michael Lancaster Garcia, Frederick B. Mueller, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 15-02383 | 03/11/2016 | Claimant(s): Mihai Szabo, MBS Source ETrading.
Claimant Lawyers(s): Mihai Szabo
Respondent(s): Ridgeway & Conger.
Respondent Lawyers(s): David A. Conti
Arbitrator(s): William Michael Samsel
Hearing Site: Seattle, WA
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| 14-03569 | 02/16/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Scott Rahn
Respondent Lawyers(s): Stephen E. Csajaghy
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, Al Van Kampen
Hearing Site: Seattle, WA
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| 15-00457 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Steven Colvin
Respondent Lawyers(s): Steven Lloyd Colvin
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
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