| 19-00610 | 12/10/2019 | Claimant(s): Daniel Adams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Metropolitan Investment Securities.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | |
| 19-00739 | 10/24/2019 | Claimant(s): Brian Lockett, Morgan Arford
Claimant Lawyers(s): John A. Bender
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | |
| 18-00727 | 10/03/2018 | Claimant(s): Kevin Peterson
Claimant Lawyers(s): John A Bender
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | |
| 17-01821 | 03/15/2018 | Claimant(s): Ryan Callaway
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Philip E. Cutler
Hearing Site: Anchorage, AK
| | |
| 14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
|  | Expungement |
| 14-01054 | 02/10/2015 | Claimant(s): James Young
Claimant Lawyers(s): Robert H. Stevenson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
| 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 |
| 11-02050 | 12/11/2012 | Claimant(s): Barrett Business Services., Estate of William Sherertz
Claimant Lawyers(s): Howard B. Prossnitz, Jahan K. Manasseh
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip E. Cutler, G. E. Craig Doupe, Alan Reginald Doe
Hearing Site: Seattle, WA
| | $0 |
| 10-03633 | 04/05/2012 | Claimant(s): Laurence Raybois, Peter Ratener, Thoreson-Vogel
Claimant Lawyers(s): John A. Bender
Respondent(s): Graham Williams, William Swayne, Pacific West Securities., WMS Financial Services, Williams Palmer
Respondent Lawyers(s): Daniel Lee
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 08-04132 | 12/29/2010 | Claimant(s): Earl Schriver
Claimant Lawyers(s): Earl L. Schriver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
