| 13-03213 | 04/20/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Caroline Tennant
Respondent Lawyers(s): Avi J. Lipman
Arbitrator(s): Laurie E. Law, Lawrence E. Little, Judith Hill Henderson
Hearing Site: Seattle, WA
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| 13-01868 | 10/10/2014 | Claimant(s): Afif Hossain
Claimant Lawyers(s): Jack M. Lovejoy
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Ronald E. Lorentsen, Roy J. Moceri, Lawrence E. Little
Hearing Site: Seattle, WA
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| 14-02078 | 09/11/2014 | Claimant(s): Stephen Wormeli
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 13-00154 | 08/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. E. Craig Doupe, Frederick B. Mueller, Peter R. Day
Hearing Site: Seattle, WA
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| 13-03055 | 07/11/2014 | Claimant(s): Richard Borish
Claimant Lawyers(s): Richard Borish
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
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| 13-02572 | 03/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Rose
Respondent Lawyers(s): Michael Stevan Rose
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
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| 12-04077 | 02/10/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Matthew Fischer
Respondent(s): Matthew Burke
Respondent Lawyers(s): Matthew K. Burke
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
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| 11-01933 | 01/17/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Samuel Bensen
Respondent Lawyers(s): Samuel M. Bensen
Arbitrator(s): Joseph C. Roberts, William J. Bender, Frederick B. Mueller
Hearing Site: Seattle, WA
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| 13-01921 | 12/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Yao
Respondent Lawyers(s): Peter Yao
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 13-01076 | 09/16/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Richard Borish
Respondent Lawyers(s): Richard E. Borish
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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