| 21-02854 | 09/07/2022 | Claimant(s): Arash Ghayoori
Claimant Lawyers(s): Alexander Darr
Respondent(s): Clear Street LLC
Respondent Lawyers(s): Scott Gutmanstein
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
|  | $35 |
| 20-03966 | 08/11/2022 | Claimant(s): Carol Howard
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Titan Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Robert M Stein, Elwood C. Avery, Stephany Adriene Watson
Hearing Site: Seattle, WA
| | Expungement |
| 21-00877 | 05/12/2022 | Claimant(s): Emily Thompson
Claimant Lawyers(s): Daniel P. Thompson.
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | Expungement |
| 21-01346 | 05/12/2022 | Claimant(s): Richard Benge
Claimant Lawyers(s): Richard D Benge
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): William Walsh
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
| | $0 |
| 19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li
Claimant Lawyers(s): Robert Rosen
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Judah Piano, Scott Martin, MML Investors Services
Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis
Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson
Hearing Site: Seattle, WA
| | Expungement |
| 20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe
Hearing Site: Seattle, WA
| | $0 |
| 19-03839 | 02/02/2022 | Claimant(s): David Petterson, Lannie Devin, Larry Marple, Michael Shain, Richard Dawalt, Robert Lowman, Robert Reichle, Willard Grummert, Marilyn A. Martinson, Walter Walker Investment Co. Ltd.
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Carmine Berardi, Daniel Marsillo, Michael Leahy, Philip Sparacino
Respondent Lawyers(s): Carmine Anthony Berardi, Daniel Joseph Marsillo, Michael Leahy, Philip Joseph Sparacino
Arbitrator(s): Joseph C. Roberts, Steven Phillip Caplow, Christopher Keay
Hearing Site: Seattle, WA
| | $2,868,580 |
| 21-02172 | 01/27/2022 | Claimant(s): Raymond Murdoch
Claimant Lawyers(s): Raymond M Murdoch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): David J. Romanski
Hearing Site: Seattle, WA
| | $0 |
| 20-03745 | 01/13/2022 | Claimant(s): Deborah Black
Claimant Lawyers(s): Deborah Black
Respondent(s): Lee Nordstrom, Vorpahl Wing Securities
Respondent Lawyers(s): Douglas J. Siddoway, Lee Victor Nordstrom
Arbitrator(s): Stephany Adriene Watson, Courtland T. Shafer, Phillip Mohammed
Hearing Site: Seattle, WA
| | settlement |
