| 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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| 12-01774 | 05/21/2013 | Claimant(s): Gregory Headrick
Claimant Lawyers(s): Todd E. Schwartz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Frederic E. Dorkin
Hearing Site: Seattle, WA
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| 12-04086 | 05/16/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Rahn
Respondent Lawyers(s): James A. McPhee
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 10-04614 | 05/06/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Shawn Mesaros
Respondent Lawyers(s): Shawn Anthony Mesaros
Arbitrator(s): Dean J. Dietrich
Hearing Site: Seattle, WA
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| 12-01324 | 04/26/2013 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Richard Westerman
Respondent Lawyers(s): Richard Herbert Westerman
Arbitrator(s): Bonny Kathleen Riggs, Robert M. Stein, Jerome O. Cohen
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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| 11-01720 | 09/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Derek Sanders
Respondent Lawyers(s): Eric D. Lansverk
Arbitrator(s): Jonathan W. Kaiser
Hearing Site: Seattle, WA
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| 12-01417 | 08/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Scot Erwin
Respondent Lawyers(s): Scot J. Erwin
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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| 10-02609 | 08/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Feller, Ian Kerrigan, Michael McNeil
Respondent Lawyers(s): John A. Bender, Mitchell J. Albert
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Peter L. Sill
Hearing Site: Seattle, WA
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