| 13-01076 | 09/16/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Richard Borish
Respondent Lawyers(s): Richard E. Borish
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 12-04086 | 05/16/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Rahn
Respondent Lawyers(s): James A. McPhee
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer
Claimant Lawyers(s): John Bender
Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners
Respondent Lawyers(s): Chance Hodges
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan
Hearing Site: Seattle, WA
|  | Expungement |
| 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 |
| 10-02609 | 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
| | |
| 11-01425 | 06/07/2012 | Claimant(s): Estate of Richard Taggart, Taggart Estate Planning Trust
Claimant Lawyers(s): David Gaba
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Vawter, G. E. Craig Doupe, Joan Helen Lukasik
Hearing Site: Seattle, WA
| | $548,960 |
| 10-05640 | 04/05/2012 | Claimant(s): Nathan Goodman
Claimant Lawyers(s): Nathan D. Goodman
Respondent(s): Scott Wick, RBC Capital Markets
Respondent Lawyers(s): Donald S. Arbour
Arbitrator(s): Gerald D. Wygant, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Helena, MT
| | $0 |
| 10-03023 | 01/19/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Ronald Hyde
Respondent Lawyers(s): Ronald M. Hyde
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Portland, OR
| | |
| 10-03477 | 10/20/2011 | Claimant(s): Third Andresen
Claimant Lawyers(s): Third H. Andresen
Respondent(s): Jon Elayda, The Investment Center.
Respondent Lawyers(s): Jon Nguyen Elayda, Peter B. Wells
Arbitrator(s): William W. Anderson, G. E. Craig Doupe, Lawrence R. Mills
Hearing Site: Seattle, WA
| | $0 |
| 10-01749 | 08/17/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ronald Barton
Respondent Lawyers(s): Fredrick D. Huebner
Arbitrator(s): Robert E. Meston, G. E. Craig Doupe, Lisa E. Schuchman
Hearing Site: Seattle, WA
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