| 09-04678 | 12/31/2012 | Claimant(s): Marsha Orsatelli Smith, S3 Properties LP, SFG LLC, SSI Land Cattle Co., Katelyn Smith UTMA, Custodian Account, Ty Smith UTMA
Claimant Lawyers(s): David Gaba, John A. Bender
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Robert Bocko
Arbitrator(s): Bonny Kathleen Riggs, Laurie E. Law, Charles Scott McClellan
Hearing Site: Seattle, WA
|  | $0 |
| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
| | Expungement |
| 11-00867 | 12/11/2012 | Claimant(s): Clair Couturier
Claimant Lawyers(s): Bradley B. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Walter Schlaepfer aka Phil Scot
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Robert E. Meston, Craig Charles Beles, Ann Sattler
Hearing Site: Seattle, WA
| | $1,714,480 |
| 11-02050 | 12/11/2012 | Claimant(s): Barrett Business Services., Estate of William Sherertz
Claimant Lawyers(s): Howard B. Prossnitz, Jahan K. Manasseh
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip E. Cutler, G. E. Craig Doupe, Alan Reginald Doe
Hearing Site: Seattle, WA
| | $0 |
| 10-05782 | 10/11/2012 | Claimant(s): Patricia Abbate
Claimant Lawyers(s): Courtland Shafer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Laurie E. Law, James G. Dawson, Todd A. Bloom
Hearing Site: Seattle, WA
| | Expungement |
| 11-03787 | 09/12/2012 | Claimant(s): Roland McLean
Claimant Lawyers(s): Jeffrey M. Salas
Respondent(s): Aaron Porter, Shayne Kuebler, Great Northern Financial Securities
Respondent Lawyers(s): Aaron Virgil Porter, Douglas A. Fry, Shayne Dean Kuebler
Arbitrator(s): Thomas R. Dreiling, Carl J. Carlson, Roy J. Moceri
Hearing Site: Seattle, WA
| | $424,550 |
| 11-02923 | 08/02/2012 | Claimant(s): Barbara Hasting, David O'Harrow, Dennis Sager, Jozef Alena, Kim Sager, Marvin Hasting, Velma Byers, Living Trust U/A/D 10/14/91 FBO Marvin D
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Ingrid Gintz, Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Jack M. Lovejoy
Arbitrator(s): Thomas D. Cochran, William P. Bergsten, Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $600 |
| 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 |
| 11-01425 | 06/07/2012 | Claimant(s): Estate of Richard Taggart, Taggart Estate Planning Trust
Claimant Lawyers(s): David Gaba
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Vawter, G. E. Craig Doupe, Joan Helen Lukasik
Hearing Site: Seattle, WA
| | $548,960 |
| 10-05313 | 04/27/2012 | Claimant(s): Garrison Family LLC, Charlotte Garrison Trst FBO MarkGarrison, Charlotte Garrison Trust FBO LesaNeugent, Charlotte L Garrison Exempt Marital Trst, Charlotte L. Garrison Marital Trust, Jack M. Garrison Survivor's Trust, Rev Trust of Jack and Charlotte Garrison
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Wells Fargo Investments, Jean Adams, Rebbie Thomas
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Laurie E. Law, Kevin I. Patrick, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
