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FINRA Awards for Seattle, WA

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Displaying 10 out of 173 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0155910/11/2024Claimant(s): Tyler Hanson, Raymond David Hanson Residuary Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Thomas R. Dreiling, James E. Bartels, Dianna J. Caley
Hearing Site: Seattle, WA
Checkmark Icon$0
22-0239805/21/2024Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
Checkmark Icon$0
22-0192512/12/2023Claimant(s): Christopher Berthold
Claimant Lawyers(s): Christopher Berthold
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Arocles Aguilar
Hearing Site: Seattle, WA
Checkmark IconDismissed by Rule 12212 and 12511
23-0018610/12/2023Claimant(s): Stephen Haff
Claimant Lawyers(s): Stephen August Haff
Respondent(s): Brian Wakefield, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Thomas R. Dreiling, Kate Jacobson, Leslie Elliot Maerov
Hearing Site: Seattle, WA
Checkmark Icon$0
23-0119809/13/2023Claimant(s): Suzanne Oney, Tod Oney
Claimant Lawyers(s): Tod Oney
Respondent(s): Randall Duggan, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
Checkmark Icon$600
21-0204105/02/2023Claimant(s): Eda Lee Haas, Julia Berg, Phillip Haas, Sandra Gollofon, Susan Meyers
Claimant Lawyers(s): Duncan E Manville
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Elwood C. Avery, Cheung David Chhieng, Katherine L Sidener
Hearing Site: Seattle, WA
Checkmark Icon$0
22-0288305/01/2023Claimant(s): Tongzhou Luo
Claimant Lawyers(s): Tongzhou Luo
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Isidoro Berkman
Hearing Site: Seattle, WA
Checkmark Icon$175
21-0200812/16/2022Claimant(s): Beau Crabill
Claimant Lawyers(s): Philip Vujanov
Respondent(s): Sean Casterline, Delta Securities Company
Respondent Lawyers(s): Chelsea Bauer, K. Michael Swann
Arbitrator(s): Katherine Hendricks, Adrian Martinez Madrone, Riya Kuo
Hearing Site: Seattle, WA
Checkmark IconExpungement
22-0095312/09/2022Claimant(s): Anuphong Sivatitikul, Sukanya Thudsuan
Claimant Lawyers(s): David Neuman
Respondent(s): Narongdej Jaroensabphayanont
Respondent Lawyers(s): Narongdej Jaroensabphayanont
Arbitrator(s): Mark Lee Haggard
Hearing Site: Seattle, WA
Checkmark Icon$53,768
21-0293310/14/2022Claimant(s): Li Lin Rood, Richard Rood
Claimant Lawyers(s): Li Lin Rood
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elwood C. Avery
Hearing Site: Seattle, WA
Checkmark Icon$0

173 Results

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