| 21-03114 | 09/01/2022 | Claimant(s): Gary Meagher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | |
| 19-02276 | 06/13/2022 | Claimant(s): Shuichi Iizumi, Hatsu Corporation
Claimant Lawyers(s): Shuichi Iizumi
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Katherine Hendricks, Bernard F. Vail, Jonathan H. Krotinger
Hearing Site: Honolulu, HI
|  | $100,607 |
| 19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li
Claimant Lawyers(s): Robert Rosen
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Judah Piano, Scott Martin, MML Investors Services
Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis
Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson
Hearing Site: Seattle, WA
| | Expungement |
| 20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe
Hearing Site: Seattle, WA
| | $0 |
| 19-01802 | 11/12/2021 | Claimant(s): Jennifer Lona, Philip Lane
Claimant Lawyers(s): Mark K. Davis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $34,875 |
| 20-01332 | 09/17/2021 | Claimant(s): Chun Zhu
Claimant Lawyers(s): Chun Mei (Ida) Zhu
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Katherine Hendricks, William J. Bender, Craig Charles Beles
Hearing Site: Seattle, WA
| | |
| 21-00665 | 05/24/2021 | Claimant(s): Kimberly Muska
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | |
| 20-03053 | 05/18/2021 | Claimant(s): Mark Gaskill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | |
| 20-01021 | 02/02/2021 | Claimant(s): Kirk Balin
Claimant Lawyers(s): Kurt T. Kalberer II
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | |
