| 16-00524 | 10/10/2016 | Claimant(s): Shari Osweiler Swartz
Claimant Lawyers(s): Shari Osweiler Swartz
Respondent(s): Stifel, Nicolaus & Co.., John Horton, Joshua Horton
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Charles Scott McClellan
Hearing Site: Helena, MT
|  | $0 |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
| 12-03139 | 04/17/2014 | Claimant(s): Dorothy Sivo, Lighthouse Point
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): David W. Evans, Todd A. Bloom, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Expungement |
| 13-02491 | 03/13/2014 | Claimant(s): James T. and Sandee K. Waller
Claimant Lawyers(s): James T. Waller
Respondent(s): Neal Kloke
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $10,300 |
| 13-00723 | 08/08/2013 | Claimant(s): Gerald Gooley, Sharon Gooley
Claimant Lawyers(s): Gerald L. Gooley, Sharon Gooley
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Charles Scott McClellan
Hearing Site: Portland, OR
| | Expungement |
| 12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer
Claimant Lawyers(s): John Bender
Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners
Respondent Lawyers(s): Chance Hodges
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Expungement |
| 09-04678 | 12/31/2012 | Claimant(s): Marsha Orsatelli Smith, S3 Properties LP, SFG LLC, SSI Land Cattle Co., Katelyn Smith UTMA, Custodian Account, Ty Smith UTMA
Claimant Lawyers(s): David Gaba, John A. Bender
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Robert Bocko
Arbitrator(s): Bonny Kathleen Riggs, Laurie E. Law, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 10-05313 | 04/27/2012 | Claimant(s): Garrison Family LLC, Charlotte Garrison Trst FBO MarkGarrison, Charlotte Garrison Trust FBO LesaNeugent, Charlotte L Garrison Exempt Marital Trst, Charlotte L. Garrison Marital Trust, Jack M. Garrison Survivor's Trust, Rev Trust of Jack and Charlotte Garrison
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Wells Fargo Investments, Jean Adams, Rebbie Thomas
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Laurie E. Law, Kevin I. Patrick, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 09-02259 | 11/11/2010 | Claimant(s): Stan Rosen, Eastlake Business Park Associates, H&A Investment Irrevocable Environment S, Kirkland Commerce Center Associates, Lesmir Inc. dba Rosen Properties and Ros, Lynnwood East Business Park Associates,, Marymoor Warehouse Associates, Mayers MGI Building Holding, North Creek Enterprises, RH Lynnwood Corporate Center Associates,, RH Sixth Avenue Plaza Associates, Rosen Bel Kirk Associates, Rosen De Jonge Properties, Stevens Health Center Associates, Woodinville Warehouse Associates, Michele Rosen, RH Tacoma Place, Everett Plaza Shopping Center, Evergreen Way Association
Claimant Lawyers(s): Aron K Liang
Respondent(s): Wedbush Securities Inc., Richard Graham
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Frederic E. Dorkin, Julie Eileen Gay, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Auction Rate Securities related |
