| 17-02767 | 07/16/2018 | Claimant(s): Rebbecca Stay
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
| | |
| 17-01088 | 06/27/2018 | Claimant(s): Rodger Rickel
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): James Miles Goodwin
Hearing Site: Seattle, WA
|  | $0 |
| 17-01679 | 06/27/2018 | Claimant(s): John Newport, Marcia Moore
Claimant Lawyers(s): Jeremy Scott Hyndman
Respondent(s): Richard Westerman, Sean Grubb, Northwest Investment Advisors.
Respondent Lawyers(s): William D. Hyslop
Arbitrator(s): Thomas R. Dreiling, Dianna J. Caley, Larry Dalton Arnold
Hearing Site: Seattle, WA
| | $360,300 |
| 18-00820 | 06/22/2018 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Andrew Lawrence
Respondent Lawyers(s): Andrew Michael Lawrence
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 17-02488 | 05/21/2018 | Claimant(s): Mark Seto
Claimant Lawyers(s): Trent M. Latta
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts, Thomas F. Kopshever
Arbitrator(s): Joseph C. Roberts, Michael J. Busch, David William Hickman
Hearing Site: Seattle, WA
| | |
| 17-02858 | 05/04/2018 | Claimant(s): James Black
Claimant Lawyers(s): John A Bender
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | |
| 17-02027 | 05/02/2018 | Claimant(s): Kunjlata Mehta
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Meghan H. Pietoso
Arbitrator(s): John M. Casey
Hearing Site: Seattle, WA
| | $54,192 |
| 17-03493 | 05/01/2018 | Claimant(s): Corey Ross
Claimant Lawyers(s): Corey Douglas Ross
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Autumn Crowell
Arbitrator(s): Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | |
| 17-02555 | 04/19/2018 | Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $42,093 |
| 17-01059 | 04/06/2018 | Claimant(s): Steven Carver
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Spero, Anthony Urrico, Joseph Varvara, Michael Molinaro, Charles Vista LLC
Respondent Lawyers(s): Gregg Lorenzo, MIchael P. Gilmore, Michael Robert Molinaro
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
