| 15-00015 | 08/11/2016 | Claimant(s): Suzanne Rickwal
Claimant Lawyers(s): Alan Gilmore
Respondent(s): J.H. Darbie & Co..
Respondent Lawyers(s): N. Ari Weisbrot
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
|  | $0 |
| 12-00540 | 04/17/2014 | Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
| | $3,048,200 |
| 12-04331 | 03/27/2014 | Claimant(s): Melvin Hall
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Joseph C. Roberts, James A. Vawter, Jerome O. Cohen
Hearing Site: Seattle, WA
| | Expungement |
| 12-00556 | 06/03/2013 | Claimant(s): Donald Sehmel, Mary Sehmel, The Sehmel Homestead Limited Partnership, 1995 Sehmel Homestead Charitable Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $0 |
| 12-01075 | 05/14/2013 | Claimant(s): Diane Hunt
Claimant Lawyers(s): David W. Miller
Respondent(s): Dougherty & Company LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Joseph C. Roberts, Thomas R. Dreiling, Jerome O. Cohen
Hearing Site: Seattle, WA
| | Expungement |
| 12-01705 | 03/25/2013 | Claimant(s): Thomas Himmelberger
Claimant Lawyers(s): Thomas E. Himmelberger
Respondent(s): RBC Capital Markets LLC, William Reece
Respondent Lawyers(s): Julie Thrall Burrow
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | Stipulated Award and Expungement |
| 12-00446 | 07/18/2012 | Claimant(s): S. Albert Custodian for Michael Albert, Steven Albert Custodian for Kyle Albert, Steven John Albert, Steven John Albert & Kimberly Rae Albert
Claimant Lawyers(s): Steven J Albert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Reilly
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 09-06924 | 12/15/2011 | Claimant(s): Marie Mirch
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Joseph C. Roberts, Joseph M. O'Connor, Gregory Jay Gursey
Hearing Site: Reno, NV
| | Expungement |
| 10-03587 | 08/19/2011 | Claimant(s): Cindy Tronsrue, Florence Tronsrue, George Tronsrue, Nancy Frei, Jericho Fund
Claimant Lawyers(s): Donald H. Mullins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Joseph C. Roberts, Peter L. Sill, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | $0 |
| 09-01369 | 05/27/2011 | Claimant(s): James Jordan
Claimant Lawyers(s): James H. Jordan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Joseph C. Roberts, Bonny Kathleen Riggs, Laurie E. Law
Hearing Site: Seattle, WA
| | Stipulated Award and Expungement |
