| 23-02786 | 10/28/2024 | Claimant(s): Linda Fontanes
Claimant Lawyers(s): Kerry Lawson Pedigo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Joseph C. Roberts, Peter H. Daly, James John Jurinski
Hearing Site: Boise, ID
|  | $0 |
| 21-00877 | 05/12/2022 | Claimant(s): Emily Thompson
Claimant Lawyers(s): Daniel P. Thompson.
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | Expungement |
| 19-03839 | 02/02/2022 | Claimant(s): David Petterson, Lannie Devin, Larry Marple, Michael Shain, Richard Dawalt, Robert Lowman, Robert Reichle, Willard Grummert, Marilyn A. Martinson, Walter Walker Investment Co. Ltd.
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Carmine Berardi, Daniel Marsillo, Michael Leahy, Philip Sparacino
Respondent Lawyers(s): Carmine Anthony Berardi, Daniel Joseph Marsillo, Michael Leahy, Philip Joseph Sparacino
Arbitrator(s): Joseph C. Roberts, Steven Phillip Caplow, Christopher Keay
Hearing Site: Seattle, WA
| | $2,868,580 |
| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 18-02548 | 07/16/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Gilbert Serota
Respondent(s): Ki Ham
Respondent Lawyers(s): Roger D. Mellem
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 18-02138 | 06/10/2019 | Claimant(s): Esther Ackermann, Pauline Ackermann
Claimant Lawyers(s): Robert Gonser
Respondent(s): Ken Carter, RBC Capital Markets LLC
Respondent Lawyers(s): Donald Davidson, Trent M. Latta
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 18-01014 | 08/06/2018 | Claimant(s): Elizabeth Kohlstaedt, Elizabeth V. Kohlstaed IRA
Claimant Lawyers(s): Scott Peterson
Respondent(s): Keith Duncan, Investacorp.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | $0 |
| 16-02844 | 12/19/2017 | Claimant(s): Gary Stoll, Jimmie Stoll
Claimant Lawyers(s): Christopher L. Lufrano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Schiferl
Arbitrator(s): Joseph C. Roberts
Hearing Site: Boise, ID
| | Expungement |
| 16-00570 | 05/11/2017 | Claimant(s): Paul Brown
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Joseph C. Roberts, Clydia Jean Cuykendall, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 15-01546 | 11/28/2016 | Claimant(s): Jonathan Tran, Trustee of the Jonathan T
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Gilliat Schroeder, Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand, Molly J. Henry
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | $0 |
