| 18-00208 | 10/04/2018 | Claimant(s): Jared Smith
Claimant Lawyers(s): Michael Bessette
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Seattle, WA
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| 18-00727 | 10/03/2018 | Claimant(s): Kevin Peterson
Claimant Lawyers(s): John A Bender
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
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| 18-00034 | 09/13/2018 | Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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| 17-02767 | 07/16/2018 | Claimant(s): Rebbecca Stay
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
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| 18-00820 | 06/22/2018 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Andrew Lawrence
Respondent Lawyers(s): Andrew Michael Lawrence
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 17-02488 | 05/21/2018 | Claimant(s): Mark Seto
Claimant Lawyers(s): Trent M. Latta
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts, Thomas F. Kopshever
Arbitrator(s): Joseph C. Roberts, Michael J. Busch, David William Hickman
Hearing Site: Seattle, WA
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| 17-02858 | 05/04/2018 | Claimant(s): James Black
Claimant Lawyers(s): John A Bender
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
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| 17-03493 | 05/01/2018 | Claimant(s): Corey Ross
Claimant Lawyers(s): Corey Douglas Ross
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Clydia Jean Cuykendall
Hearing Site: Seattle, WA
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| 17-00398 | 03/27/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Stephanie P. Berntsen
Respondent(s): Kevin Clouse, RBC Capital Markets LLC
Respondent Lawyers(s): James Sanders
Arbitrator(s): Clydia Jean Cuykendall, Jonathan Avram Kroman, Chris Robert Youtz
Hearing Site: Seattle, WA
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| 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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