| 14-02156 | 12/09/2016 | Claimant(s): William Newcomer, NNN Parkway Corporate Plaza 4
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Erinn Ford, Jeffrey Sims, Mark McCloskey, Philip Pizelo, Shanon Ford, Clearview Wealth Management, Pacific West Securities., The Estate of Robert A. Cannon
Respondent Lawyers(s): Diane M. Meyers, Erinn June Ford, Jeffrey Scott Sims, Mark Thomas McCloskey, Philip A. Pizelo, Shanon L. Ford, Shanon Lane Ford
Arbitrator(s): John F. Cockburn, Melvyn Jay Simburg, Donald H. Mullins
Hearing Site: Seattle, WA
|  | Expungement |
| 15-01546 | 11/28/2016 | Claimant(s): Jonathan Tran, Trustee of the Jonathan T
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Gilliat Schroeder, Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand, Molly J. Henry
Arbitrator(s): Joseph C. Roberts, Elwood C. Avery, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | $0 |
| 13-01600 | 11/16/2016 | Claimant(s): Chakorn Phisuthikul, Marilyn Heinemann
Claimant Lawyers(s): Joshua Sisam
Respondent(s): Philip Pizelo, William Swayne, Pacific West Securities., WMS Financial Planners.
Respondent Lawyers(s): John W. Stenson, Philip A. Pizelo, Philip Anthony Pizelo, William Madison Swayne
Arbitrator(s): Elwood C. Avery, Linda A. Cotton, Ann Sattler
Hearing Site: Seattle, WA
| | $1,199,900 |
| 15-01862 | 10/04/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Geoffrey Beckham
Respondent(s): Armando Cervantes
Respondent Lawyers(s): Armando Cervantes
Arbitrator(s): William Ziering, William P. Bergsten, Paul R. Meyer
Hearing Site: Seattle, WA
| | $0 |
| 14-03194 | 09/08/2016 | Claimant(s): Douglas Caron
Claimant Lawyers(s): Douglas R. Caron
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Michael Clear
Arbitrator(s): James M. Shaker, Scott D. Rash, Akili Lucilla Estrella
Hearing Site: Seattle, WA
| | $0 |
| 15-00015 | 08/11/2016 | Claimant(s): Suzanne Rickwal
Claimant Lawyers(s): Alan Gilmore
Respondent(s): J.H. Darbie & Co..
Respondent Lawyers(s): N. Ari Weisbrot
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $0 |
| 16-00630 | 08/02/2016 | Claimant(s): Estate of Linda Polley
Claimant Lawyers(s): R. Douglas Collier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Thomas D. Reese
Hearing Site: Seattle, WA
| | $425 |
| 15-00666 | 07/26/2016 | Claimant(s): Megumi Sherrill, Richard Sherrill
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Leslie Cannon, Estate of Robert A. Cannon
Respondent Lawyers(s): Dan J. Oates
Arbitrator(s): William J. Bender, Jonathan H. Krotinger, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | $0 |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
