| 13-02812 | 06/11/2014 | Claimant(s): William Dorrance
Claimant Lawyers(s): William H. Dorrance
Respondent(s): Guy Clements
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome O. Cohen
Hearing Site: Seattle, WA
|  | $0 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 12-03718 | 05/28/2014 | Claimant(s): Marcia Baker
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Kenneth George
Respondent Lawyers(s): Joel Wright
Arbitrator(s): John F. Cockburn, Roy J. Moceri, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 12-00540 | 04/17/2014 | Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
| | $3,048,200 |
| 12-03139 | 04/17/2014 | Claimant(s): Dorothy Sivo, Lighthouse Point
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): David W. Evans, Todd A. Bloom, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Expungement |
| 12-04331 | 03/27/2014 | Claimant(s): Melvin Hall
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Joseph C. Roberts, James A. Vawter, Jerome O. Cohen
Hearing Site: Seattle, WA
| | Expungement |
| 11-04703 | 03/20/2014 | Claimant(s): Daniel Levine, Stacy Levine
Claimant Lawyers(s): Mathew L. Harrington
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): James M. Shaker, Imants J. Leskinovitch, David William Hickman
Hearing Site: Seattle, WA
| | Expungement |
| 13-02491 | 03/13/2014 | Claimant(s): James T. and Sandee K. Waller
Claimant Lawyers(s): James T. Waller
Respondent(s): Neal Kloke
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $10,300 |
| 13-00182 | 10/28/2013 | Claimant(s): Bradley Shull, Kathryn Shull
Claimant Lawyers(s): Bradley Shull
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $0 |
| 13-01084 | 10/01/2013 | Claimant(s): Chris W. Ditlefsen, Susan J. Ditlefsen
Claimant Lawyers(s): Chris W. Ditlefsen
Respondent(s): Paul Moore
Respondent Lawyers(s): Robert J. Bocko
Arbitrator(s): David W. Evans, Joan M. Schroeder, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
