| 15-00457 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Steven Colvin
Respondent Lawyers(s): Steven Lloyd Colvin
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 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 |
| 14-01005 | 12/02/2014 | Claimant(s): David MacIntyre
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 13-02572 | 03/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Rose
Respondent Lawyers(s): Michael Stevan Rose
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 12-04077 | 02/10/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Matthew Fischer
Respondent(s): Matthew Burke
Respondent Lawyers(s): Matthew K. Burke
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 12-01324 | 04/26/2013 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Richard Westerman
Respondent Lawyers(s): Richard Herbert Westerman
Arbitrator(s): Bonny Kathleen Riggs, Robert M. Stein, Jerome O. Cohen
Hearing Site: Seattle, WA
| | |
| 10-03633 | 04/05/2012 | Claimant(s): Laurence Raybois, Peter Ratener, Thoreson-Vogel
Claimant Lawyers(s): John A. Bender
Respondent(s): Graham Williams, William Swayne, Pacific West Securities., WMS Financial Services, Williams Palmer
Respondent Lawyers(s): Daniel Lee
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 10-00952 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Mark Graham
Respondent Lawyers(s): Robert J. Girard, II
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, William R. Hickman
Hearing Site: Seattle, WA
| | |
| 09-04679 | 06/07/2011 | Claimant(s): Thomas Gant, Gant-Springville Corners
Claimant Lawyers(s): Mark A. Friel
Respondent(s): James Feek
Respondent Lawyers(s): Marco Magnano
Arbitrator(s): Robert M. Stein, Lisa E. Schuchman, Parker Arthur Montgomery
Hearing Site: Seattle, WA
| | Expungement |
