| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
|  | $100,000 |
| 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 |
| 11-04596 | 12/20/2012 | Claimant(s): Timothy Tutko
Claimant Lawyers(s): David A. Nold
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Michael R.E. Sanders, Todd A. Bloom, David Gonzalez
Hearing Site: Seattle, WA
| | Expungement |
| 10-05782 | 10/11/2012 | Claimant(s): Patricia Abbate
Claimant Lawyers(s): Courtland Shafer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Laurie E. Law, James G. Dawson, Todd A. Bloom
Hearing Site: Seattle, WA
| | Expungement |
