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 |
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 |
13-02591 | 02/13/2015 | Claimant(s): Anthony Fox, Susan Fox Claimant Lawyers(s): Benjamin Lapin Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Richard L. Warner, Roy J. Moceri, Ann Sattler Hearing Site: Seattle, WA
| | Expungement |
13-00900 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Paul Stafford Respondent Lawyers(s): Paul Edward Stafford Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton Hearing Site: Helena, MT
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12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer Claimant Lawyers(s): John Bender Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners Respondent Lawyers(s): Chance Hodges Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan Hearing Site: Seattle, WA
| | Expungement |
10-02609 | 08/09/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mitchell J. Albert Respondent(s): David Feller, Ian Kerrigan, Michael McNeil Respondent Lawyers(s): John A. Bender, Mitchell J. Albert Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Peter L. Sill Hearing Site: Seattle, WA
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10-00377 | 08/04/2011 | Claimant(s): Anne Erickson, Robert Erickson Claimant Lawyers(s): Mark K. Davis Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner Hearing Site: Seattle, WA
| | $65,013 |
09-04788 | 02/11/2010 | Claimant(s): John Matthews Claimant Lawyers(s): John R. Matthews Respondent(s): LPL Financial LLC Respondent Lawyers(s): James D. Vannah Arbitrator(s): Richard L. Warner Hearing Site: Seattle, WA
| | $0 |