| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
|  | $112,181 |
| 10-03633 | 04/05/2012 | Claimant(s): Laurence Raybois, Peter Ratener, Thoreson-Vogel
Claimant Lawyers(s): John A. Bender
Respondent(s): Graham Williams, William Swayne, Pacific West Securities., WMS Financial Services, Williams Palmer
Respondent Lawyers(s): Daniel Lee
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 10-02830 | 03/15/2012 | Claimant(s): Lloyd Geldreich, Lloyd E. Geldreich Trust
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Chase Investment Services Corp., Michael Craggett
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Judith A. Cochrane, Roy J. Moceri, Lawrence E. Little
Hearing Site: Seattle, WA
| | Expungement |
| 11-00230 | 03/06/2012 | Claimant(s): Joseph Lightfoot, Marilyn Lightfoot, Lightfoot Living Trust
Claimant Lawyers(s): Chris R. Youtz
Respondent(s): Joshua Swayne, William Swayne, Pacific West Financial Group, Pacific West Securities., WMS Financial LLC, WMS Financial Planners.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): William J. Bender, Peter R. Day, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | $2,063,800 |
| 11-02453 | 01/17/2012 | Claimant(s): Joyce Abel
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Lincoln Benefit Life Company, RBC Capital Markets Corporatio
Respondent Lawyers(s): Julie Thrall Burrow, Maya Ewing Williams
Arbitrator(s): Jerome O. Cohen
Hearing Site: Seattle, WA
| | $213 |
| 08-02235 | 01/13/2012 | Claimant(s): Northgate Minerals Corporation
Claimant Lawyers(s): Eric Levine
Respondent(s): Lars Jacobson, Roland Hansalik
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Peter L. Sill, Robert W. Pillitteri, Mark Harris Adams
Hearing Site: Seattle, WA
| | Expungement |
| 10-05061 | 12/27/2011 | Claimant(s): Estate of Nancy S. Nethercutt
Claimant Lawyers(s): Ryan M. Beaudoin
Respondent(s): Craig Wessels, Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Elwood C. Avery, Imants J. Leskinovitch
Hearing Site: Seattle, WA
| | Expungement |
| 10-03857 | 10/20/2011 | Claimant(s): Mary C. Gregory Trust U/A DTD 10/5/77
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Mutual Service Corporation
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): John A. Bender
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 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 |
| 10-02204 | 09/22/2011 | Claimant(s): Charles Miller, Debra Miller, Miller Family Trust
Claimant Lawyers(s): Patrick C. Quinlivan
Respondent(s): Aldo Ciuffetelli, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John A. Bender, Frederic E. Dorkin, James K. Barbee
Hearing Site: Seattle, WA
| | $0 |
