| 08-02440 | 01/28/2009 | Claimant(s): Ann Hibner Koblitz, Neal Koblitz
Claimant Lawyers(s): Ann Hibner Koblitz, Neal Koblitz
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher Wells
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
|  | $3,425 |
| 08-01197 | 12/03/2008 | Claimant(s): Norman Harms
Claimant Lawyers(s): Norman E. Harms
Respondent(s): Scottrade
Respondent Lawyers(s): Andrew Small
Arbitrator(s): Jonathan W. Kaiser
Hearing Site: Seattle, WA
| | $3,963 |
| 08-00940 | 11/10/2008 | Claimant(s): Yuan Sun
Claimant Lawyers(s): Russell M. Odell
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): George F. Meierhofer
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $425 |
| 08-00627 | 10/21/2008 | Claimant(s): Reid & Rudiger LLC
Claimant Lawyers(s): Joel S. Forman
Respondent(s): Ronald Williams
Respondent Lawyers(s): Ronald L. Williams
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 07-03610 | 08/27/2008 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Leigh Patten
Respondent Lawyers(s): Christina M. Latta
Arbitrator(s): Michael R. Scott, John M. Casey, Keith R Anderson
Hearing Site: Seattle, WA
| | Stipulated Award |
| 06-01817 | 06/30/2008 | Claimant(s): Akhil Shah, Rajnikant Shah
Claimant Lawyers(s): Michael M. Feinberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Craig Charles Beles, Charles M. Ackerman, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $0 |
| 07-03183 | 06/13/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David George
Respondent Lawyers(s): David George
Arbitrator(s): Richard D. Brady
Hearing Site: Seattle, WA
| | $0 |
| 03-07132 | 03/19/2008 | Claimant(s): Ischemia Research & Education Foundation
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder
Hearing Site: Seattle, WA
| | $0 |
| 07-02342 | 03/18/2008 | Claimant(s): Comprehensive Wealth Management L.L.C.
Claimant Lawyers(s): Kent Millikan
Respondent(s): Mark Lindberg and Darlene Lindberg
Respondent Lawyers(s): Mark and Darlene Lindberg
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $1,897 |
| 07-01660 | 12/07/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sam Aaron and Erika M. Adams
Respondent Lawyers(s): Sam Aaron
Arbitrator(s): Richard E. Keefe
Hearing Site: Seattle, WA
| | $0 |
