| 18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
|  | Expungement |
| 17-01059 | 04/06/2018 | Claimant(s): Steven Carver
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Spero, Anthony Urrico, Joseph Varvara, Michael Molinaro, Charles Vista LLC
Respondent Lawyers(s): Gregg Lorenzo, MIchael P. Gilmore, Michael Robert Molinaro
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 12-02917 | 03/06/2015 | Claimant(s): David Wilson, Jeanette Wilson
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, Mark Mccloskey, Philip Pizelo, Shanon Ford, Pacific West Financial Group Holding Co., Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Roy J. Moceri, Craig Charles Beles, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 12-03718 | 05/28/2014 | Claimant(s): Marcia Baker
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Kenneth George
Respondent Lawyers(s): Joel Wright
Arbitrator(s): John F. Cockburn, Roy J. Moceri, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 11-00867 | 12/11/2012 | Claimant(s): Clair Couturier
Claimant Lawyers(s): Bradley B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Walter Schlaepfer aka Phil Scot
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Robert E. Meston, Craig Charles Beles, Ann Sattler
Hearing Site: Seattle, WA
| | $1,714,480 |
| 06-01817 | 06/30/2008 | Claimant(s): Akhil Shah, Rajnikant Shah
Claimant Lawyers(s): Michael M. Feinberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Craig Charles Beles, Charles M. Ackerman, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $0 |
