| 18-03451 | 03/22/2019 | Claimant(s): Gary Jeweler
Claimant Lawyers(s): John Bender
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 18-02830 | 02/26/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Ellis
Respondent Lawyers(s): Bridget Donegan
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | |
| 18-00026 | 01/16/2019 | Claimant(s): George Booth
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
|  | $0 |
| 18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman
Claimant Lawyers(s): David Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 17-02001 | 12/28/2018 | Claimant(s): Sarah Carlson
Claimant Lawyers(s): David John Freniere
Respondent(s): Todd Koyama
Respondent Lawyers(s): Jeremy Hyndman
Arbitrator(s): John A. Bender, G. E. Craig Doupe, Charles Scott McClellan
Hearing Site: Seattle, WA
| | |
| 18-00578 | 12/28/2018 | Claimant(s): Shawn Richardson
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Geoffrey S. Beckham
Arbitrator(s): Peter H. Daly
Hearing Site: Seattle, WA
| | |
| 18-00720 | 12/13/2018 | Claimant(s): Lance Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Securities Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Sarah K. Yates
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
| | |
| 18-00208 | 10/04/2018 | Claimant(s): Jared Smith
Claimant Lawyers(s): Michael Bessette
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Laurel Littman Gothelf
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
| | |
| 18-00034 | 09/13/2018 | Claimant(s): Douglas Donnelly
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Matthew P. Fischer
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
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