| 08-03678 | 02/14/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Fenton
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Bonny Kathleen Riggs, Kay A. Johnson, CRCP, Judith Hill Henderson
Hearing Site: Seattle, WA
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| 10-01190 | 12/02/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Sandstrom
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Michael J. Fish
Hearing Site: Seattle, WA
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| 10-01057 | 11/09/2010 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): David L. Young
Respondent(s): Sally Gray
Respondent Lawyers(s): Sally J. Gray
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Cheri Johnson
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP
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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| 10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Jeffrey Hollingsworth
Respondent Lawyers(s): Jeffrey Scott Hollingsworth
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 09-06424 | 06/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Brian Gass
Respondent Lawyers(s): Brian Lewis Gass
Arbitrator(s): Elwood C. Avery
Hearing Site: Seattle, WA
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| 09-03050 | 05/07/2010 | Claimant(s): Shan Kumar
Claimant Lawyers(s): William A. Linton
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
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| 08-00835 | 04/01/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Mathew Dailey
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bonny Kathleen Riggs, Michael J. Busch, Laurie E. Law
Hearing Site: Seattle, WA
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| 08-04720 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Seattle, WA
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