| 12-00011 | 06/03/2013 | Claimant(s): Stephen Morgan
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Taunton
Arbitrator(s): Michael R.E. Sanders, Joan M. Schroeder, Stephen E. DeForest
Hearing Site: Seattle, WA
|  | Expungement |
| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
| | Expungement |
| 11-02923 | 08/02/2012 | Claimant(s): Barbara Hasting, David O'Harrow, Dennis Sager, Jozef Alena, Kim Sager, Marvin Hasting, Velma Byers, Living Trust U/A/D 10/14/91 FBO Marvin D
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Ingrid Gintz, Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Jack M. Lovejoy
Arbitrator(s): Thomas D. Cochran, William P. Bergsten, Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $600 |
| 09-02143 | 03/25/2011 | Claimant(s): Karen Rey
Claimant Lawyers(s): William M. Bankston
Respondent(s): Wedbush Securities Inc., Thomas Packer
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Robert M. Stein, Michael R.E. Sanders, James K. Barbee
Hearing Site: Anchorage, AK
| | $228,670 |
| 08-03874 | 11/24/2009 | Claimant(s): Arlan Coulter
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Daniel Wiersma, Edward Grogan, Commonwealth Equity Services.
Respondent Lawyers(s): Charles A. Lyman
Arbitrator(s): Michael W. Reinhardt, John M. Casey, Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $84,972 |
| 09-02574 | 09/28/2009 | Claimant(s): Gary Bech
Claimant Lawyers(s): Raymond S. Weber
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $213 |
| 08-01154 | 06/05/2009 | Claimant(s): Richard Soshea
Claimant Lawyers(s): Tom Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Michael R.E. Sanders, Charles M. Ackerman, David William Hickman
Hearing Site: Seattle, WA
| | $0 |
| 06-02122 | 07/03/2007 | Claimant(s): Margo Piscevich, Margo Piscevich IRA, Margo Piscevich Profit Sharing Plan
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell, Patricia Meidell, Associated Securities Corp.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Lincoln F. Stock, Michael R.E. Sanders, Dee Newell
Hearing Site: Reno, NV
| | $460,000 |
