| 13-01600 | 11/16/2016 | Claimant(s): Chakorn Phisuthikul, Marilyn Heinemann
Claimant Lawyers(s): Joshua Sisam
Respondent(s): Philip Pizelo, William Swayne, Pacific West Securities., WMS Financial Planners.
Respondent Lawyers(s): John W. Stenson, Philip A. Pizelo, Philip Anthony Pizelo, William Madison Swayne
Arbitrator(s): Elwood C. Avery, Linda A. Cotton, Ann Sattler
Hearing Site: Seattle, WA
|  | $1,199,900 |
| 11-00656 | 08/26/2013 | Claimant(s): Joanna George, Randy George
Claimant Lawyers(s): Randy George
Respondent(s): Erinn Ford, Joshua Swayne, Mark McCloskey, Philip Pizelo, Shanon Ford, William Swayne, Pacific West Financial Group Co., Pacific West Securities., WMS Financial Planners Inc.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Philip Aaron Tymon, Michael Lancaster Garcia, Robert Hilton Keller
Hearing Site: San Francisco, CA
| | $0 |
| 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 |
| 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 |
| 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 |
| 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 |
