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
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20-02728 | 09/08/2021 | Claimant(s): Robin Naylor Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pacific West Securities. Respondent Lawyers(s): Philip A Pizelo Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
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20-04013 | 06/21/2021 | Claimant(s): Douglas Donnelly Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
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20-02502 | 06/01/2021 | Claimant(s): Melissa Williams Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Christina Vourakis Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
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19-02511 | 04/01/2020 | Claimant(s): Peter Covino Claimant Lawyers(s): Dochtor Kennedy Respondent(s): VSR Financial Services. Respondent Lawyers(s): Jeremy Carr Arbitrator(s): Craig Charles Beles Hearing Site: Boise, ID
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18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Peter W. Howell Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
| | Expungement |
17-01059 | 04/06/2018 | Claimant(s): Steven Carver Claimant Lawyers(s): Jennifer Tarr Respondent(s): Adam Spero, Anthony Urrico, Joseph Varvara, Michael Molinaro, Charles Vista LLC Respondent Lawyers(s): Gregg Lorenzo, MIchael P. Gilmore, Michael Robert Molinaro Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
17-00550 | 09/29/2017 | Claimant(s): Mark Graham Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
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14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp Claimant Lawyers(s): Shannon L. McDougald Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Roxanne Sheehan Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles Hearing Site: Seattle, WA
| | Expungement |
12-02917 | 03/06/2015 | Claimant(s): David Wilson, Jeanette Wilson Claimant Lawyers(s): Bradd L. Milove Respondent(s): Erinn Ford, Mark Mccloskey, Philip Pizelo, Shanon Ford, Pacific West Financial Group Holding Co., Pacific West Securities. Respondent Lawyers(s): Philip A. Pizelo Arbitrator(s): Roy J. Moceri, Craig Charles Beles, Joseph Lincoln Carman Hearing Site: Seattle, WA
| | Expungement |