18-01781 | 03/06/2020 | Claimant(s): Steve Carver IRA Claimant Lawyers(s): Jeffrey S. Eisenberg Respondent(s): Francis Lorenzo, Gregg Lorenzo, Charles Vista LLC Respondent Lawyers(s): Francis Vincent Lorenzo, Gregg Lorenzo, Robyn D. Paster Arbitrator(s): Charles Scott McClellan, Chris Robert Youtz, Sandra Palmer Hearing Site: Seattle, WA
| | $0 |
18-00026 | 01/16/2019 | Claimant(s): George Booth Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Woodstock Financial Group. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Charles Scott McClellan Hearing Site: Seattle, WA
| | $0 |
15-01567 | 11/18/2016 | Claimant(s): Dennis Stefani Claimant Lawyers(s): Glenn E. Tremper Respondent(s): Edward Jones Respondent Lawyers(s): Jennifer Porter Arbitrator(s): Philip Aaron Tymon, David William Hickman, Charles Scott McClellan Hearing Site: Helena, MT
| | Expungement |
16-00524 | 10/10/2016 | Claimant(s): Shari Osweiler Swartz Claimant Lawyers(s): Shari Osweiler Swartz Respondent(s): Stifel, Nicolaus & Co.., John Horton, Joshua Horton Respondent Lawyers(s): Jeffrey C. Primiano Arbitrator(s): Charles Scott McClellan Hearing Site: Helena, MT
| | $0 |
15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn Respondent(s): LPL Financial LLC Respondent Lawyers(s): David J. Freniere Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman Hearing Site: Seattle, WA
| | Expungement |
12-03139 | 04/17/2014 | Claimant(s): Dorothy Sivo, Lighthouse Point Claimant Lawyers(s): Christopher P. Mader Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group Respondent Lawyers(s): William E. Fitzharris Arbitrator(s): David W. Evans, Todd A. Bloom, Charles Scott McClellan Hearing Site: Seattle, WA
| | Expungement |
13-02491 | 03/13/2014 | Claimant(s): James T. and Sandee K. Waller Claimant Lawyers(s): James T. Waller Respondent(s): Neal Kloke Respondent Lawyers(s): Ryan Probstfeld Arbitrator(s): Charles Scott McClellan Hearing Site: Seattle, WA
| | $10,300 |
13-00723 | 08/08/2013 | Claimant(s): Gerald Gooley, Sharon Gooley Claimant Lawyers(s): Gerald L. Gooley, Sharon Gooley Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Charles Scott McClellan Hearing Site: Portland, OR
| | Expungement |
12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer Claimant Lawyers(s): John Bender Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners Respondent Lawyers(s): Chance Hodges Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan Hearing Site: Seattle, WA
| | Expungement |
09-04678 | 12/31/2012 | Claimant(s): Marsha Orsatelli Smith, S3 Properties LP, SFG LLC, SSI Land Cattle Co., Katelyn Smith UTMA, Custodian Account, Ty Smith UTMA Claimant Lawyers(s): David Gaba, John A. Bender Respondent(s): Wachovia Securities Respondent Lawyers(s): Robert Bocko Arbitrator(s): Bonny Kathleen Riggs, Laurie E. Law, Charles Scott McClellan Hearing Site: Seattle, WA
| | $0 |