| 11-01933 | 01/17/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Samuel Bensen
Respondent Lawyers(s): Samuel M. Bensen
Arbitrator(s): Joseph C. Roberts, William J. Bender, Frederick B. Mueller
Hearing Site: Seattle, WA
| | |
| 10-03534 | 07/29/2013 | Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brad Weiner, UBS Financial Services Inc.
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
|  | Expungement |
| 11-04428 | 03/01/2013 | Claimant(s): Barbara Fairbanks, Creighton Rauh, George Hughes, Karl Fairbanks, Keith Kriewall, Lynda Masterson, Merri Zehfus Kriewall, Nancy Huges, Shirley Sandwith
Claimant Lawyers(s): Dave Gaba
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): William J. Bender, Roy J. Moceri, Mark Harris Adams
Hearing Site: Seattle, WA
| | $186,544 |
| 11-00984 | 04/17/2012 | Claimant(s): Elaine Stone, Lawrence Stone
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): William J. Bender, Kim D. Stephens, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $112,181 |
| 11-00230 | 03/06/2012 | Claimant(s): Joseph Lightfoot, Marilyn Lightfoot, Lightfoot Living Trust
Claimant Lawyers(s): Chris R. Youtz
Respondent(s): Joshua Swayne, William Swayne, Pacific West Financial Group, Pacific West Securities., WMS Financial LLC, WMS Financial Planners.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): William J. Bender, Peter R. Day, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | $2,063,800 |
| 09-06806 | 03/25/2011 | Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
| | $48,514 |
| 10-00344 | 03/07/2011 | Claimant(s): Curt Lehner
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): Brian Peterson, Clark Johnston, Jeffrey Peterson, Jonathan Peterson, Robert Tew, Todd Groskreutz, Alpine Securities Corporation
Respondent Lawyers(s): Steven G. Loosle
Arbitrator(s): Peter G. Walker, Laurie E. Law, William J. Bender
Hearing Site: Seattle, WA
| | $0 |
| 09-05807 | 10/27/2010 | Claimant(s): Andrew Becker, Donna Fisher, Andrew N. Becker Simplified Plan
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Russell B. Wuehler
Arbitrator(s): William J. Bender, James K. Barbee, Gary Ray Edwards
Hearing Site: Seattle, WA
| | Expungement |
| 09-04331 | 09/28/2010 | Claimant(s): Helen Oathout, Joan Burdick, Peggy Armstrong
Claimant Lawyers(s): William Bankston
Respondent(s): Charles Schwab & Co.., Charles Schwab Corporation, Charles Schwab Financial Services Group, Charles Schwab Investment Management, In, Schwab Investments.
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Alexander H. Slivka, William J. Bender, Nancy J. Highness
Hearing Site: Anchorage, AK
| | $75,000 |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
