| 17-02555 | 04/19/2018 | Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
|  | $42,093 |
| 17-01059 | 04/06/2018 | Claimant(s): Steven Carver
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Spero, Anthony Urrico, Joseph Varvara, Michael Molinaro, Charles Vista LLC
Respondent Lawyers(s): Gregg Lorenzo, MIchael P. Gilmore, Michael Robert Molinaro
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 17-01341 | 03/08/2018 | Claimant(s): Mahnaz Daniali
Claimant Lawyers(s): Mahnaz Daniali
Respondent(s): Daniel Halsne, Wells Fargo Advisors
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
| | $117 |
| 15-03159 | 10/06/2017 | Claimant(s): Janet Demarcke
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Phillip Multop
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk
Hearing Site: Seattle, WA
| | Expungement |
| 16-01999 | 09/26/2017 | Claimant(s): James Stofer
Claimant Lawyers(s): David Neuman
Respondent(s): Kevin Tolsma
Respondent Lawyers(s): John R. Bamford
Arbitrator(s): Thomas R. Dreiling, Ian Stephen Birk, Chris Robert Youtz
Hearing Site: Seattle, WA
| | $0 |
| 17-00454 | 06/20/2017 | Claimant(s): L. Dinea Norrell
Claimant Lawyers(s): L. Dinea Norrell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Andrea J. Ferranti
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $25,000 |
| 16-02659 | 06/08/2017 | Claimant(s): Eilleen Wogan, Lisa Wogan
Claimant Lawyers(s): Adam Gana
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Katherine Hendricks, William W. Haskell, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 16-00570 | 05/11/2017 | Claimant(s): Paul Brown
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): Joseph C. Roberts, Clydia Jean Cuykendall, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 15-02068 | 03/14/2017 | Claimant(s): Laura Birzell, Mark Birzell
Claimant Lawyers(s): John A. Bender, Kristin Nealey Meier
Respondent(s): Nicholas Hodges, Money Concepts Capital Corp.
Respondent Lawyers(s): Gabriel Z. Reynoso, Marc S. Dobin
Arbitrator(s): Laurel Littman Gothelf, John M. Casey, Kate Jacobson
Hearing Site: Seattle, WA
| | Expungement |
| 15-03104 | 02/27/2017 | Claimant(s): Mary Jo Metro
Claimant Lawyers(s): Daniel A. Rogers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): William J. Brack, Laurel Littman Gothelf, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
