| 19-01922 | 04/17/2020 | Claimant(s): Benjamin Lanphar
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
| | |
| 19-01412 | 12/19/2019 | Claimant(s): Jeffrey Cashman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 19-01053 | 11/18/2019 | Claimant(s): Tastyworks.
Claimant Lawyers(s): John Muldoon
Respondent(s): CC Research
Respondent Lawyers(s): Joseph Koroki
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
|  | $37,392 |
| 18-04368 | 08/02/2019 | Claimant(s): Timothy Thomas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 18-04038 | 07/23/2019 | Claimant(s): Erinn Ford
Claimant Lawyers(s): Jennifer Gutenberg
Respondent(s): Cetera Advisors LLC., Pacific West Securities.
Respondent Lawyers(s): Jeremy Carr, Philip A. Pizelo
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 17-02488 | 05/21/2018 | Claimant(s): Mark Seto
Claimant Lawyers(s): Trent M. Latta
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts, Thomas F. Kopshever
Arbitrator(s): Joseph C. Roberts, Michael J. Busch, David William Hickman
Hearing Site: Seattle, WA
| | |
| 15-01567 | 11/18/2016 | Claimant(s): Dennis Stefani
Claimant Lawyers(s): Glenn E. Tremper
Respondent(s): Edward Jones
Respondent Lawyers(s): Jennifer Porter
Arbitrator(s): Philip Aaron Tymon, David William Hickman, Charles Scott McClellan
Hearing Site: Helena, MT
| | Expungement |
| 11-04703 | 03/20/2014 | Claimant(s): Daniel Levine, Stacy Levine
Claimant Lawyers(s): Mathew L. Harrington
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): James M. Shaker, Imants J. Leskinovitch, David William Hickman
Hearing Site: Seattle, WA
| | Expungement |
| 08-01154 | 06/05/2009 | Claimant(s): Richard Soshea
Claimant Lawyers(s): Tom Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Michael R.E. Sanders, Charles M. Ackerman, David William Hickman
Hearing Site: Seattle, WA
| | $0 |
