| 09-02727 | 02/28/2011 | Claimant(s): Ronald Woolworth
Claimant Lawyers(s): Randy J. Aliment
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Robert M. Stein, Clarence F. Roed, Sally Phillips Pasette
Hearing Site: Seattle, WA
|  | $0 |
| 08-04048 | 01/24/2011 | Claimant(s): Greoge Toskey and Ginette Toskey
Claimant Lawyers(s): James A. Smith
Respondent(s): Charles Schwab & Co.., Wendy Britton
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Katherine Hendricks, J. David Andrews, Joan M. Schroeder
Hearing Site: Seattle, WA
| | Expungement |
| 08-04132 | 12/29/2010 | Claimant(s): Earl Schriver
Claimant Lawyers(s): Earl L. Schriver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip E. Cutler
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 |
| 09-02259 | 11/11/2010 | Claimant(s): Stan Rosen, Eastlake Business Park Associates, H&A Investment Irrevocable Environment S, Kirkland Commerce Center Associates, Lesmir Inc. dba Rosen Properties and Ros, Lynnwood East Business Park Associates,, Marymoor Warehouse Associates, Mayers MGI Building Holding, North Creek Enterprises, RH Lynnwood Corporate Center Associates,, RH Sixth Avenue Plaza Associates, Rosen Bel Kirk Associates, Rosen De Jonge Properties, Stevens Health Center Associates, Woodinville Warehouse Associates, Michele Rosen, RH Tacoma Place, Everett Plaza Shopping Center, Evergreen Way Association
Claimant Lawyers(s): Aron K Liang
Respondent(s): Wedbush Securities Inc., Richard Graham
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Frederic E. Dorkin, Julie Eileen Gay, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Auction Rate Securities related |
| 10-01661 | 10/28/2010 | Claimant(s): Marrell Greutman, Terry Greutman, Marrell R. and Wallis T. Greutman Trust
Claimant Lawyers(s): Kirk Daniel Mensonides
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $213 |
| 09-05807 | 10/27/2010 | Claimant(s): Andrew Becker, Donna Fisher, Andrew N. Becker Simplified Plan
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Russell B. Wuehler
Arbitrator(s): William J. Bender, James K. Barbee, Gary Ray Edwards
Hearing Site: Seattle, WA
| | Expungement |
| 10-00383 | 09/27/2010 | Claimant(s): Alan Thietje and Michelle Thietje
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Angelo Cortes, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
| | $25,425 |
| 10-00750 | 08/19/2010 | Claimant(s): Fortune and Robin Pestarino Jt Tenants
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
| | $4,481 |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
