| 10-05640 | 04/05/2012 | Claimant(s): Nathan Goodman
Claimant Lawyers(s): Nathan D. Goodman
Respondent(s): Scott Wick, RBC Capital Markets
Respondent Lawyers(s): Donald S. Arbour
Arbitrator(s): Gerald D. Wygant, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Helena, MT
|  | $0 |
| 10-03477 | 10/20/2011 | Claimant(s): Third Andresen
Claimant Lawyers(s): Third H. Andresen
Respondent(s): Jon Elayda, The Investment Center.
Respondent Lawyers(s): Jon Nguyen Elayda, Peter B. Wells
Arbitrator(s): William W. Anderson, G. E. Craig Doupe, Lawrence R. Mills
Hearing Site: Seattle, WA
| | $0 |
| 09-06878 | 11/17/2010 | Claimant(s): Bruce Firestone
Claimant Lawyers(s): Bruce M. Firestone
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Kimon Peter Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 08-04373 | 06/04/2010 | Claimant(s): Marina Braun
Claimant Lawyers(s): Justine Fischer
Respondent(s): Wachovia Securities, Julian Albert
Respondent Lawyers(s): Demian J. Betz, Michael J. Abbott
Arbitrator(s): Clyde Fahlman, William J. Chambers, G. E. Craig Doupe
Hearing Site: Portland, OR
| | $0 |
| 09-00992 | 04/20/2010 | Claimant(s): Jean R. Christopherson - Wall IRA
Claimant Lawyers(s): David Gaba
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): G. E. Craig Doupe, Brian T. Applegate, William R. Hickman
Hearing Site: Seattle, WA
| | $95,150 |
| 08-04540 | 03/25/2010 | Claimant(s): Manny Neves
Claimant Lawyers(s): Courtland T. Shafer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): G. E. Craig Doupe, Paul R. Meyer, Frederick B. Mueller
Hearing Site: Seattle, WA
| | $0 |
| 09-02039 | 12/01/2009 | Claimant(s): Lee Crawford
Claimant Lawyers(s): Lee Ryan Crawford
Respondent(s): Deborah Calder, U.S. Bancorp Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $1 |
| 08-00988 | 04/29/2009 | Claimant(s): Kimberly Arntz, Neil Arntz, Neil J. Arntz, Custodian for Rio A.Arnt, Arntz Family Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Jeanne C. Stilwell, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Seattle, WA
| | $48,879 |
