| 19-03250 | 03/26/2021 | Claimant(s): Benjamin Capdevielle, Brandon Ehrlich, Bryce Dawson, Carol Hilton, Carrie Miller, Christine Eason, David Miller, Diana Naramore, Emilie Dawson, Eugene Rogers, Gary Wyatt, Holly Robinson, Ian Hilton, Irene Leon Guerrero, Joann LaCanfora, Martha Wyatt, Nadine Dawson, Natasha Ehrlich, Pamela Apt, Patricia Hamilton, Peter Leon Guerrero, Robert LaCanfora, Shannon McQuery, Stephen Apt, Stephen Naramore, Tony Eason
Claimant Lawyers(s): John A. Bender, Timothy B. Fitzgerald
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): David Luger, Kevin H. Lewis
Arbitrator(s): Katherine H. O'Neil, David Gonzalez, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $4,646,560 |
| 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
| | |
| 15-02068 | 03/14/2017 | Claimant(s): Laura Birzell, Mark Birzell
Claimant Lawyers(s): John A. Bender, Kristin Nealey Meier
Respondent(s): Nicholas Hodges, Money Concepts Capital Corp.
Respondent Lawyers(s): Gabriel Z. Reynoso, Marc S. Dobin
Arbitrator(s): Laurel Littman Gothelf, John M. Casey, Kate Jacobson
Hearing Site: Seattle, WA
| | Expungement |
| 14-01852 | 05/24/2016 | Claimant(s): William Gilmer, William B. Gilmer Living Trust
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Erinn Ford, Harold Hilton, Jeffrey Sims, Kathleen Lindeke, Leslie Cannon, Mark Mccloskey, Melissa Andrews, Philip Pizelo, Shanon Ford, Clearview Wealth Management, Pacific West Securities., The Estate of Robert A. Cannon
Respondent Lawyers(s): Harold Scott Hilton, John A. Bender, Justin C. Sawyer, Philip Anthony Pizelo
Arbitrator(s): Douglas Martin Crow, Brian B. Egan, Reuel Kenneth Fish
Hearing Site: Portland, OR
| | Expungement |
| 13-01942 | 11/06/2015 | Claimant(s): Nancy Jensen, Steven Jensen, Padre Resorts.
Claimant Lawyers(s): Bradd L. Milove, Jacob Pyle
Respondent(s): Erinn Ford, Mark McCloskey, Philip Pizelo, Shanon Ford, Willis Cole, Pacific West Securities.
Respondent Lawyers(s): Erinn June Ford, John A. Bender, Mark Thomas McCloskey, Philip A. Pizelo, Philip Anthony Pizelo, Shanon Lane Ford
Arbitrator(s): Elwood C. Avery, Richard L. Warner, Dante Lee Montoya
Hearing Site: Seattle, WA
| | $0 |
| 14-03004 | 11/06/2015 | Claimant(s): Donte McClellon
Claimant Lawyers(s): John A. Bender
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Imants J. Leskinovitch, Lawrence E. Little, Ann Sattler
Hearing Site: Seattle, WA
| | $0 |
| 12-00540 | 04/17/2014 | Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
| | $3,048,200 |
| 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 |
| 10-02609 | 08/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Feller, Ian Kerrigan, Michael McNeil
Respondent Lawyers(s): John A. Bender, Mitchell J. Albert
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Peter L. Sill
Hearing Site: Seattle, WA
| | |
| 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 |
