| 23-01559 | 10/11/2024 | Claimant(s): Tyler Hanson, Raymond David Hanson Residuary Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Thomas R. Dreiling, James E. Bartels, Dianna J. Caley
Hearing Site: Seattle, WA
|  | $0 |
| 23-00703 | 01/05/2024 | Claimant(s): David Doumith, Nazim and Elsie Doumith Revocable Trust
Claimant Lawyers(s): J. Kurt Kraemer
Respondent(s): Liberty Capital Investment Corporation
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Thomas R. Dreiling, Ian Matthew Green, Crystal Rose O'Grady
Hearing Site: Portland, OR
| | $0 |
| 23-00186 | 10/12/2023 | Claimant(s): Stephen Haff
Claimant Lawyers(s): Stephen August Haff
Respondent(s): Brian Wakefield, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Thomas R. Dreiling, Kate Jacobson, Leslie Elliot Maerov
Hearing Site: Seattle, WA
| | $0 |
| 18-04079 | 12/03/2019 | Claimant(s): David Taylor, Kay Taylor
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowther
Arbitrator(s): Langdon T. Owen, Thomas R. Dreiling, Mark Lee Haggard
Hearing Site: Boise, ID
| | $0 |
| 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 |
| 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 |
| 17-03187 | 03/07/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Deborah Dodson
Respondent Lawyers(s): Deborah Jean Dodson
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | |
| 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 |
