| 21-01120 | 04/04/2022 | Claimant(s): Brian Decker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Pacific West Securities.
Respondent Lawyers(s): Corporate Officer, Jennifer E. Novoselsky
Arbitrator(s): Stephany Adriene Watson, Joan M. Schroeder, Charles Scott McClellan
Hearing Site: Seattle, WA
| | |
| 19-00392 | 11/29/2019 | Claimant(s): Joseph Hong
Claimant Lawyers(s): Joseph Hong
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): John J. Fitzpatrick, Joan M. Schroeder, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | |
| 13-01084 | 10/01/2013 | Claimant(s): Chris W. Ditlefsen, Susan J. Ditlefsen
Claimant Lawyers(s): Chris W. Ditlefsen
Respondent(s): Paul Moore
Respondent Lawyers(s): Robert J. Bocko
Arbitrator(s): David W. Evans, Joan M. Schroeder, Jane Ann McKenzie
Hearing Site: Seattle, WA
|  | Dismissed by Rule 12206 |
| 12-00011 | 06/03/2013 | Claimant(s): Stephen Morgan
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Nicholas Taunton
Arbitrator(s): Michael R.E. Sanders, Joan M. Schroeder, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Expungement |
| 08-04048 | 01/24/2011 | Claimant(s): Greoge Toskey and Ginette Toskey
Claimant Lawyers(s): James A. Smith
Respondent(s): Charles Schwab & Co.., Wendy Britton
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Katherine Hendricks, J. David Andrews, Joan M. Schroeder
Hearing Site: Seattle, WA
| | Expungement |
| 03-07132 | 03/19/2008 | Claimant(s): Ischemia Research & Education Foundation
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder
Hearing Site: Seattle, WA
| | $0 |
