| 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 |
| 14-01054 | 02/10/2015 | Claimant(s): James Young
Claimant Lawyers(s): Robert H. Stevenson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 11-02050 | 12/11/2012 | Claimant(s): Barrett Business Services., Estate of William Sherertz
Claimant Lawyers(s): Howard B. Prossnitz, Jahan K. Manasseh
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip E. Cutler, G. E. Craig Doupe, Alan Reginald Doe
Hearing Site: Seattle, WA
| | $0 |
| 10-03633 | 04/05/2012 | Claimant(s): Laurence Raybois, Peter Ratener, Thoreson-Vogel
Claimant Lawyers(s): John A. Bender
Respondent(s): Graham Williams, William Swayne, Pacific West Securities., WMS Financial Services, Williams Palmer
Respondent Lawyers(s): Daniel Lee
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 08-04132 | 12/29/2010 | Claimant(s): Earl Schriver
Claimant Lawyers(s): Earl L. Schriver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
| 07-01262 | 04/02/2008 | Claimant(s): Kurt Rogers, Sharon Rogers
Claimant Lawyers(s): William F. Brattain
Respondent(s): Floyd Shilanski, Rosa Shilanski, Shilanski & Asssociates., Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Philip E. Cutler, Kim D. Stephens, Julie Eileen Gay
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 07-00567 | 08/20/2007 | Claimant(s): Quinn R. and Ann D. Owen JTWROS
Claimant Lawyers(s): Quinn R. Owen
Respondent(s): Brian Sanders, Christopher Atteo, Clayton Sontag
Respondent Lawyers(s): Christopher B. Atteo, Norman B. Arnoff
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | Expungement |
