| 22-02398 | 05/21/2024 | Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $0 |
| 23-01198 | 09/13/2023 | Claimant(s): Suzanne Oney, Tod Oney
Claimant Lawyers(s): Tod Oney
Respondent(s): Randall Duggan, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | $600 |
| 16-01036 | 04/10/2017 | Claimant(s): Marilyn Leatherman
Claimant Lawyers(s): Marilyn J. Leatherman
Respondent(s): Michael Bruch, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): William J. Bender
Hearing Site: Helena, MT
| | $10,119 |
| 15-00666 | 07/26/2016 | Claimant(s): Megumi Sherrill, Richard Sherrill
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Leslie Cannon, Estate of Robert A. Cannon
Respondent Lawyers(s): Dan J. Oates
Arbitrator(s): William J. Bender, Jonathan H. Krotinger, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | $0 |
| 13-01962 | 02/09/2015 | Claimant(s): Donald Bowman, Eileen Bowman
Claimant Lawyers(s): Steven M. Wilker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Linda I. Thomas, William J. Bender, James G. Dawson
Hearing Site: Seattle, WA
| | $0 |
| 13-01824 | 11/13/2014 | Claimant(s): George Carson, George R. Carson, DDS,PC Profit Sharing
Claimant Lawyers(s): John G. Crist
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): William J. Bender, Philip Aaron Tymon, Ronald E. Lorentsen
Hearing Site: Helena, MT
| | Expungement |
| 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 |
| 11-04428 | 03/01/2013 | Claimant(s): Barbara Fairbanks, Creighton Rauh, George Hughes, Karl Fairbanks, Keith Kriewall, Lynda Masterson, Merri Zehfus Kriewall, Nancy Huges, Shirley Sandwith
Claimant Lawyers(s): Dave Gaba
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): William J. Bender, Roy J. Moceri, Mark Harris Adams
Hearing Site: Seattle, WA
| | $186,544 |
| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $112,181 |
| 11-00230 | 03/06/2012 | Claimant(s): Joseph Lightfoot, Marilyn Lightfoot, Lightfoot Living Trust
Claimant Lawyers(s): Chris R. Youtz
Respondent(s): Joshua Swayne, William Swayne, Pacific West Financial Group, Pacific West Securities., WMS Financial LLC, WMS Financial Planners.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): William J. Bender, Peter R. Day, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | $2,063,800 |
