| 09-06614 | 06/24/2010 | Claimant(s): Harbor Press.
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
|  | $19,168 |
| 09-06482 | 06/17/2010 | Claimant(s): William Tudor, William A. Tudor and Kathleen Tudor
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $15,368 |
| 09-00992 | 04/20/2010 | Claimant(s): Jean R. Christopherson - Wall IRA
Claimant Lawyers(s): David Gaba
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): G. E. Craig Doupe, Brian T. Applegate, William R. Hickman
Hearing Site: Seattle, WA
| | $95,150 |
| 09-00634 | 04/14/2010 | Claimant(s): Joan Sharpless, J&J Trust
Claimant Lawyers(s): Stephen D. Phillabaum
Respondent(s): Ameriprise Financial Services., Centaurus Financial.
Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald
Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $58,800 |
| 08-02135 | 04/09/2010 | Claimant(s): Marc Mauney & Lynne Rogerson Rev. Living, Qualified Terminable Interest Trust
Claimant Lawyers(s): John A. Bender
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph C. Roberts, Jonathan W. Kaiser, Sheryl Ann Seipp
Hearing Site: Seattle, WA
| | $246,560 |
| 08-04540 | 03/25/2010 | Claimant(s): Manny Neves
Claimant Lawyers(s): Courtland T. Shafer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): G. E. Craig Doupe, Paul R. Meyer, Frederick B. Mueller
Hearing Site: Seattle, WA
| | $0 |
| 09-04366 | 03/03/2010 | Claimant(s): Paul W. & Ginette Schwenn Family Trust
Claimant Lawyers(s): Paul William Schwenn
Respondent(s): Craig Luchinetti, Banc of America Investment Services Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
| | $213 |
| 09-04788 | 02/11/2010 | Claimant(s): John Matthews
Claimant Lawyers(s): John R. Matthews
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): Richard L. Warner
Hearing Site: Seattle, WA
| | $0 |
| 09-02917 | 02/01/2010 | Claimant(s): Shirley Ward, Shirley Ward & Debra Hamilton Living Tru
Claimant Lawyers(s): Shirley Ward
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $10,325 |
| 09-01554 | 12/07/2009 | Claimant(s): Philip and Sara Linwick Comm. Property
Claimant Lawyers(s): Andrew J. Kinstler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David L. Young
Arbitrator(s): William W. Anderson, Melvyn Jay Simburg, Roy J. Moceri
Hearing Site: Seattle, WA
| | $40,225 |
