| 12-02963 | 09/06/2013 | Claimant(s): Myong Butler
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Kari Kennard, Robert Cannon
Respondent Lawyers(s): Diane M. Meyers, Jeffrey S. Salisbury
Arbitrator(s): John A. Bender, James R. Medley, John Howard Resing
Hearing Site: Seattle, WA
|  | Dismissed by Rule 12206 |
| 10-03534 | 07/29/2013 | Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brad Weiner, UBS Financial Services Inc.
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | Expungement |
| 12-00011 | 06/03/2013 | Claimant(s): Stephen Morgan
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Taunton
Arbitrator(s): Michael R.E. Sanders, Joan M. Schroeder, Stephen E. DeForest
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 |
| 12-00351 | 04/23/2013 | Claimant(s): David Sandwith, Susan Crader, Perpetual Asset Shield Trust FBO Crader, Perpetual Asset ShieldTrust FBO Sandwith, US Life Fund FBO David A. Sandwith, US Life Fund FBO Susan Sandwith Crader
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brian Decker, James Black, Teri Weigel, Absolute Return Solutions., Pacific West Financial Consultants., Pacific West Securities., USA Financial Securities Corporation
Respondent Lawyers(s): Brian James Decker, Chance Hodges, Chris R. Youtzorate Officer, Gregory M. Kilby, James Leroy Black
Arbitrator(s): William W. Anderson, Laurie E. Law, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Expungement |
| 12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer
Claimant Lawyers(s): John Bender
Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners
Respondent Lawyers(s): Chance Hodges
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan
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 |
| 11-04428 | 03/01/2013 | Claimant(s): Barbara Fairbanks, Creighton Rauh, George Hughes, Karl Fairbanks, Keith Kriewall, Lynda Masterson, Merri Zehfus Kriewall, Nancy Huges, Shirley Sandwith
Claimant Lawyers(s): Dave Gaba
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): William J. Bender, Roy J. Moceri, Mark Harris Adams
Hearing Site: Seattle, WA
| | $186,544 |
| 11-04114 | 01/31/2013 | Claimant(s): Beverly McDevitt
Claimant Lawyers(s): Beverly E. McDevitt
Respondent(s): Wells Fargo Advisors, Richard Pratt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederic E. Dorkin, Lawrence E. Little, Gideon Daniel Caron
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
