| 18-01148 | 10/30/2019 | Claimant(s): Gayle Bratton, Estate of Edwards Bratton
Claimant Lawyers(s): Ann H. Rosato
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): Medora A. Marisseau
Arbitrator(s): Thomas R. Dreiling, Andrew Robert Thibeault, Katherine L Sidener
Hearing Site: Seattle, WA
|  | $0 |
| 19-01270 | 09/17/2019 | Claimant(s): Rogelio Silva
Claimant Lawyers(s): Rogelio Silva
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $0 |
| 19-00093 | 07/23/2019 | Claimant(s): Brandan Terkel
Claimant Lawyers(s): Brandan Terkel
Respondent(s): TD Ameritrade., TD Securities (USA) LLC
Respondent Lawyers(s): Amanda Wright, Julian W. Friedman
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $0 |
| 18-02548 | 07/16/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Gilbert Serota
Respondent(s): Ki Ham
Respondent Lawyers(s): Roger D. Mellem
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 18-02138 | 06/10/2019 | Claimant(s): Esther Ackermann, Pauline Ackermann
Claimant Lawyers(s): Robert Gonser
Respondent(s): Ken Carter, RBC Capital Markets LLC
Respondent Lawyers(s): Donald Davidson, Trent M. Latta
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | Expungement |
| 18-00026 | 01/16/2019 | Claimant(s): George Booth
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 17-01088 | 06/27/2018 | Claimant(s): Rodger Rickel
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): James Miles Goodwin
Hearing Site: Seattle, WA
| | $0 |
| 17-01679 | 06/27/2018 | Claimant(s): John Newport, Marcia Moore
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Richard Westerman, Sean Grubb, Northwest Investment Advisors.
Respondent Lawyers(s): William D. Hyslop
Arbitrator(s): Thomas R. Dreiling, Dianna J. Caley, Larry Dalton Arnold
Hearing Site: Seattle, WA
| | $360,300 |
| 17-02027 | 05/02/2018 | Claimant(s): Kunjlata Mehta
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Meghan H. Pietoso
Arbitrator(s): John M. Casey
Hearing Site: Seattle, WA
| | $54,192 |
