| 21-00137 | 05/27/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jeanette Stofleth
Respondent Lawyers(s): Donna Mack
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 18-03894 | 05/18/2021 | Claimant(s): Stephen Guzylak
Claimant Lawyers(s): Robert J Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie Taylor
Arbitrator(s): Robert M Stein, Dean J. Dietrich, Jeffry Canin
Hearing Site: Seattle, WA
| | |
| 20-03102 | 05/03/2021 | Claimant(s): Phil Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 20-00990 | 03/25/2021 | Claimant(s): Charles Stanton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 20-02770 | 03/09/2021 | Claimant(s): Jason Plemons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 18-03451 | 03/22/2019 | Claimant(s): Gary Jeweler
Claimant Lawyers(s): John Bender
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 15-03159 | 10/06/2017 | Claimant(s): Janet Demarcke
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Phillip Multop
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk
Hearing Site: Seattle, WA
|  | Expungement |
| 15-01288 | 06/13/2016 | Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $78,341 |
| 14-03569 | 02/16/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Scott Rahn
Respondent Lawyers(s): Stephen E. Csajaghy
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, Al Van Kampen
Hearing Site: Seattle, WA
| | |
| 14-03864 | 08/05/2015 | Claimant(s): Ethan Bowen
Claimant Lawyers(s): Ethan A. Bowen
Respondent(s): Chase Munoz, Dawnette Quiton, Key Investment Services LLC
Respondent Lawyers(s): Christopher Wells, Dawnette E. Quiton
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
