| 11-00230 | 03/06/2012 | Claimant(s): Joseph Lightfoot, Marilyn Lightfoot, Lightfoot Living Trust
Claimant Lawyers(s): Chris R. Youtz
Respondent(s): Joshua Swayne, William Swayne, Pacific West Financial Group, Pacific West Securities., WMS Financial LLC, WMS Financial Planners.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): William J. Bender, Peter R. Day, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
|  | $2,063,800 |
| 10-02818 | 06/27/2011 | Claimant(s): Jane Wiborg, Lloyd Wiborg, Jane S. Wiborg Trust dtd 7/28/86
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): John K. Swearingen, Kenneth W. Gosliner, James Edward Forbes
Hearing Site: San Francisco, CA
| | $376,658 |
| 08-04243 | 05/06/2011 | Claimant(s): Kenneth Willenson, Layton Property.
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): Herbert H. Neuer, Robert F. O'Keef, Gerald J. Thain
Hearing Site: Milwaukee, WI
| | Stipulated Award and Expungement |
| 09-03541 | 01/26/2011 | Claimant(s): Jonathan Zingeser
Claimant Lawyers(s): Irwin Stein
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Harvey R. Herman
Arbitrator(s): Justine Fischer, Gary L. Vezina, John Robert Oreskovich
Hearing Site: Portland, OR
| | Expungement |
| 09-02459 | 07/13/2010 | Claimant(s): Thomas Maher
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): George R. Milne, Paul R. Meyer, Bert P. Krages
Hearing Site: Portland, OR
| | $593,336 |
