15-01546 | 11/28/2016 | Claimant(s): Jonathan Tran, Trustee of the Jonathan T Claimant Lawyers(s): Jason T. Dennett Respondent(s): Gilliat Schroeder, Morgan Stanley Respondent Lawyers(s): Andrew Gelfand, Molly J. Henry Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Joseph Lincoln Carman Hearing Site: Seattle, WA
| | $0 |
15-02887 | 06/13/2016 | Claimant(s): Dennis Mahoney Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Molly J. Henry Arbitrator(s): Peter R. Day Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
15-01364 | 12/30/2015 | Claimant(s): Charles Finkelstein Claimant Lawyers(s): Charles Finkelstein Respondent(s): James Borgerding, Lindie Enders, RBC Capital Markets LLC Respondent Lawyers(s): Molly J. Henry Arbitrator(s): Jonathan H. Krotinger Hearing Site: Seattle, WA
| | $0 |
10-03534 | 07/29/2013 | Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust Claimant Lawyers(s): Lawrence R. Cock Respondent(s): Brad Weiner, UBS Financial Services Inc. Respondent Lawyers(s): Molly J. Henry Arbitrator(s): William J. Bender Hearing Site: Seattle, WA
| | Expungement |