| 19-03250 | 03/26/2021 | Claimant(s): Benjamin Capdevielle, Brandon Ehrlich, Bryce Dawson, Carol Hilton, Carrie Miller, Christine Eason, David Miller, Diana Naramore, Emilie Dawson, Eugene Rogers, Gary Wyatt, Holly Robinson, Ian Hilton, Irene Leon Guerrero, Joann LaCanfora, Martha Wyatt, Nadine Dawson, Natasha Ehrlich, Pamela Apt, Patricia Hamilton, Peter Leon Guerrero, Robert LaCanfora, Shannon McQuery, Stephen Apt, Stephen Naramore, Tony Eason
Claimant Lawyers(s): John A. Bender, Timothy B. Fitzgerald
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): David Luger, Kevin H. Lewis
Arbitrator(s): Katherine H. O'Neil, David Gonzalez, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $4,646,560 |
| 16-02627 | 01/30/2017 | Claimant(s): Ernest Tatyrek
Claimant Lawyers(s): Ernest Ray Tatyrek
Respondent(s): Ervin Decker, J.P. Morgan Securities
Respondent Lawyers(s): Christopher Seps, Michael N. Ungar
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 13-02434 | 10/21/2014 | Claimant(s): Seone Miller
Claimant Lawyers(s): Karola Crothers
Respondent(s): Citigroup Global Markets., James Frank
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Wendy L. Harris, Linda I. Thomas, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 14-00355 | 08/25/2014 | Claimant(s): Timothy Lee
Claimant Lawyers(s): Timothy Lee
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Megan A. Lamberti
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 12-01653 | 08/27/2013 | Claimant(s): Daniel Dickau, Heather Dickau
Claimant Lawyers(s): Joshua L. Ross
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Daniel B. MacLeod, Thomas R. Dreiling, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $220,300 |
| 11-00018 | 09/20/2011 | Claimant(s): Jan Harris-Kimball, Jan E. Harris-Kimball ROTH IRA, Jan E. Harris-Kimball, IRA
Claimant Lawyers(s): Jan E. Harris-Kimball
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $213 |
| 10-01590 | 04/06/2011 | Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 08-03839 | 04/30/2010 | Claimant(s): Tavalyn Crim
Claimant Lawyers(s): Gregory L. Powell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Katherine H. O'Neil, Michael G. Hanlon, Lawrence Edward Kelly
Hearing Site: Portland, OR
| | Expungement |
| 08-03307 | 07/24/2009 | Claimant(s): Albert Longbotham Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Gerald D. Wygant, Bonny Kathleen Riggs, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $76,145 |
