| 21-02008 | 12/16/2022 | Claimant(s): Beau Crabill
Claimant Lawyers(s): Philip Vujanov
Respondent(s): Sean Casterline, Delta Securities Company
Respondent Lawyers(s): Chelsea Bauer, K. Michael Swann
Arbitrator(s): Katherine Hendricks, Adrian Martinez Madrone, Riya Kuo
Hearing Site: Seattle, WA
|  | Expungement |
| 19-02276 | 06/13/2022 | Claimant(s): Shuichi Iizumi, Hatsu Corporation
Claimant Lawyers(s): Shuichi Iizumi
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Katherine Hendricks, Bernard F. Vail, Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $100,607 |
| 19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li
Claimant Lawyers(s): Robert Rosen
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Judah Piano, Scott Martin, MML Investors Services
Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis
Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson
Hearing Site: Seattle, WA
| | Expungement |
| 20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe
Hearing Site: Seattle, WA
| | $0 |
| 19-01802 | 11/12/2021 | Claimant(s): Jennifer Lona, Philip Lane
Claimant Lawyers(s): Mark K. Davis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $34,875 |
| 19-00093 | 07/23/2019 | Claimant(s): Brandan Terkel
Claimant Lawyers(s): Brandan Terkel
Respondent(s): TD Ameritrade., TD Securities (USA) LLC
Respondent Lawyers(s): Amanda Wright, Julian W. Friedman
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $0 |
| 18-02548 | 07/16/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Gilbert Serota
Respondent(s): Ki Ham
Respondent Lawyers(s): Roger D. Mellem
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 16-02659 | 06/08/2017 | Claimant(s): Eilleen Wogan, Lisa Wogan
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Katherine Hendricks, William W. Haskell, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 14-00589 | 12/11/2014 | Claimant(s): Brown Family Trust
Claimant Lawyers(s): Scott Brown
Respondent(s): Robin Naylor, Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo, Robin Naylor
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $0 |
