| 08-02135 | 04/09/2010 | Claimant(s): Marc Mauney & Lynne Rogerson Rev. Living, Qualified Terminable Interest Trust
Claimant Lawyers(s): John A. Bender
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph C. Roberts, Jonathan W. Kaiser, Sheryl Ann Seipp
Hearing Site: Seattle, WA
|  | $246,560 |
| 09-02917 | 02/01/2010 | Claimant(s): Shirley Ward, Shirley Ward & Debra Hamilton Living Tru
Claimant Lawyers(s): Shirley Ward
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $10,325 |
| 08-00940 | 11/10/2008 | Claimant(s): Yuan Sun
Claimant Lawyers(s): Russell M. Odell
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): George F. Meierhofer
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 06-04178 | 09/09/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Janet Weinstein
Respondent(s): James Yim
Respondent Lawyers(s): James B. Yim
Arbitrator(s): Joseph C. Roberts
Hearing Site: Reno, NV
| | $0 |
