| 15-00015 | 08/11/2016 | Claimant(s): Suzanne Rickwal
Claimant Lawyers(s): Alan Gilmore
Respondent(s): J.H. Darbie & Co..
Respondent Lawyers(s): N. Ari Weisbrot
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
|  | $0 |
| 16-00630 | 08/02/2016 | Claimant(s): Estate of Linda Polley
Claimant Lawyers(s): R. Douglas Collier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Thomas D. Reese
Hearing Site: Seattle, WA
| | $425 |
| 15-00666 | 07/26/2016 | Claimant(s): Megumi Sherrill, Richard Sherrill
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Leslie Cannon, Estate of Robert A. Cannon
Respondent Lawyers(s): Dan J. Oates
Arbitrator(s): William J. Bender, Jonathan H. Krotinger, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | $0 |
| 13-02333 | 06/28/2016 | Claimant(s): Cheney Ranch, Singing Sage, Andrew Den Hoed, Sr. and Marie Den Hoed
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Joseph Gazes, Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Ira G. Rosenstein, Timothy P. Burke
Arbitrator(s): Stephany Adriene Watson, Linda I. Thomas, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 15-00046 | 06/28/2016 | Claimant(s): John Hamann, Peggy Hamann
Claimant Lawyers(s): Gary S. Menzer, Jeffrey R. Sonn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Charles Scott McClellan, Clydia Jean Cuykendall, Joel I. Beerman
Hearing Site: Seattle, WA
| | Expungement |
| 15-01288 | 06/13/2016 | Claimant(s): Geraldine James, James Living Trust
Claimant Lawyers(s): David M. Gaba, Patricia L. Vannoy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Robert M. Stein, G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $78,341 |
| 15-02887 | 06/13/2016 | Claimant(s): Dennis Mahoney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Molly J. Henry
Arbitrator(s): Peter R. Day
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
| 14-01448 | 04/26/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Scott Maloy
Respondent Lawyers(s): Scott D. Maloy
Arbitrator(s): Lawrence E. Little, Kay A. Johnson, CRCP, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | |
| 15-02424 | 04/13/2016 | Claimant(s): Christy Gatien
Claimant Lawyers(s): Julie T. Burrow
Respondent(s): Peggy Fowler
Respondent Lawyers(s): Peggy Fowler
Arbitrator(s): Michael Lancaster Garcia, Frederick B. Mueller, Kenneth James Pedersen
Hearing Site: Seattle, WA
| | Expungement |
| 15-02383 | 03/11/2016 | Claimant(s): Mihai Szabo, MBS Source ETrading.
Claimant Lawyers(s): Mihai Szabo
Respondent(s): Ridgeway & Conger.
Respondent Lawyers(s): David A. Conti
Arbitrator(s): William Michael Samsel
Hearing Site: Seattle, WA
| | |
