| 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
| | |
| 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 |
| 09-01369 | 05/27/2011 | Claimant(s): James Jordan
Claimant Lawyers(s): James H. Jordan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Joseph C. Roberts, Bonny Kathleen Riggs, Laurie E. Law
Hearing Site: Seattle, WA
| | Stipulated Award and Expungement |
| 08-03678 | 02/14/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Fenton
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Bonny Kathleen Riggs, Kay A. Johnson, CRCP, Judith Hill Henderson
Hearing Site: Seattle, WA
| | |
| 08-00835 | 04/01/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Mathew Dailey
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bonny Kathleen Riggs, Michael J. Busch, Laurie E. Law
Hearing Site: Seattle, WA
| | |
| 08-03307 | 07/24/2009 | Claimant(s): Albert Longbotham Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Gerald D. Wygant, Bonny Kathleen Riggs, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $76,145 |
| 07-01659 | 11/18/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Lee Weissman
Respondent Lawyers(s): Lee Weissman
Arbitrator(s): Bonny Kathleen Riggs, Thomas D. Cochran, Montgomery G. Griffin
Hearing Site: Honolulu, HI
| | $0 |
