| 14-01059 | 07/17/2015 | Claimant(s): Sharon Graham Bingham 2007 Trust
Claimant Lawyers(s): Rick J Wathen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): James A. Bishop, Linda I. Thomas, Kenneth James Pedersen
Hearing Site: Seattle, WA
|  | $0 |
| 13-01541 | 03/14/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Phillip G. Eckenrode
Respondent(s): Wells Fargo Advisors, Kimberly Perreira
Respondent Lawyers(s): Lawrence R. Cock, Thomas V. Dulcich
Arbitrator(s): Paul Alden Skoog, Larry T. Coady, James John Jurinski
Hearing Site: Portland, OR
| | |
| 10-03534 | 07/29/2013 | Claimant(s): Ashley Marie Hern Gift Trust, Shaun M. Donnelly Gift Trust
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brad Weiner, UBS Financial Services Inc.
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | Expungement |
| 12-00351 | 04/23/2013 | Claimant(s): David Sandwith, Susan Crader, Perpetual Asset Shield Trust FBO Crader, Perpetual Asset ShieldTrust FBO Sandwith, US Life Fund FBO David A. Sandwith, US Life Fund FBO Susan Sandwith Crader
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Brian Decker, James Black, Teri Weigel, Absolute Return Solutions., Pacific West Financial Consultants., Pacific West Securities., USA Financial Securities Corporation
Respondent Lawyers(s): Brian James Decker, Chance Hodges, Chris R. Youtzorate Officer, Gregory M. Kilby, James Leroy Black
Arbitrator(s): William W. Anderson, Laurie E. Law, Stephen E. DeForest
Hearing Site: Seattle, WA
| | Expungement |
| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
| | Expungement |
| 09-04284 | 04/07/2011 | Claimant(s): John Mills, Judith Mills
Claimant Lawyers(s): Dennis H. Walters
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Paul R. Meyer, Lawrence R. Mills, Parker Arthur Montgomery
Hearing Site: Seattle, WA
| | $0 |
| 09-06806 | 03/25/2011 | Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
| | $48,514 |
| 09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Cheri Johnson
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
| | |
