| 15-01288 | 06/13/2016 | Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
|  | $78,341 |
| 15-02887 | 06/13/2016 | Claimant(s): Dennis Mahoney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Peter R. Day
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 14-01603 | 02/22/2016 | Claimant(s): Richard Jensen, Jensen Enterprises.
Claimant Lawyers(s): Han Le, Kenneth J. Catanzarite
Respondent(s): John Misner
Respondent Lawyers(s): Wright A. Noel
Arbitrator(s): William P. Bergsten, Jonathan W. Kaiser, Paul R. Meyer
Hearing Site: Seattle, WA
| | $0 |
| 14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 15-01364 | 12/30/2015 | Claimant(s): Charles Finkelstein
Claimant Lawyers(s): Charles Finkelstein
Respondent(s): James Borgerding, Lindie Enders, RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 13-01942 | 11/06/2015 | Claimant(s): Nancy Jensen, Steven Jensen, Padre Resorts.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Erinn Ford, Mark McCloskey, Philip Pizelo, Shanon Ford, Willis Cole, Pacific West Securities.
Respondent Lawyers(s): Erinn June Ford, John A. Bender, Mark Thomas McCloskey, Philip A. Pizelo, Philip Anthony Pizelo, Shanon Lane Ford
Arbitrator(s): Elwood C. Avery, Richard L. Warner, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $0 |
| 14-03004 | 11/06/2015 | Claimant(s): Donte McClellon
Claimant Lawyers(s): John A. Bender
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Imants J. Leskinovitch, Lawrence E. Little, Ann Sattler
Hearing Site: Seattle, WA
| | $0 |
| 14-03864 | 08/05/2015 | Claimant(s): Ethan Bowen
Claimant Lawyers(s): Ethan A. Bowen
Respondent(s): Chase Munoz, Dawnette Quiton, Key Investment Services LLC
Respondent Lawyers(s): Christopher Wells, Dawnette E. Quiton
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 14-01059 | 07/17/2015 | Claimant(s): Sharon Graham Bingham 2007 Trust
Claimant Lawyers(s): Rick J Wathen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): James A. Bishop, Linda I. Thomas, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | $0 |
| 13-01578 | 04/07/2015 | Claimant(s): Pamela Slyter
Claimant Lawyers(s): Terri A. Merriam
Respondent(s): Raymond Kempf, Kempf & Co., Transamerica Financial Advisors
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Robert M. Stein, Richard L. Warner, Al Van Kampen
Hearing Site: Seattle, WA
| | $201,533 |
