| 13-01578 | 04/07/2015 | Claimant(s): Pamela Slyter
Claimant Lawyers(s): Terri A. Merriam
Respondent(s): Raymond Kempf, Kempf & Co., Transamerica Financial Advisors
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): Robert M. Stein, Richard L. Warner, Al Van Kampen
Hearing Site: Seattle, WA
|  | $201,533 |
| 14-02516 | 03/24/2015 | Claimant(s): Charles Hampson
Claimant Lawyers(s): Charles R. Hampson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jerome O. Cohen
Hearing Site: Seattle, WA
| | $0 |
| 12-02917 | 03/06/2015 | Claimant(s): David Wilson, Jeanette Wilson
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, Mark Mccloskey, Philip Pizelo, Shanon Ford, Pacific West Financial Group Holding Co., Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Roy J. Moceri, Craig Charles Beles, Joseph Lincoln Carman
Hearing Site: Seattle, WA
| | Expungement |
| 13-02591 | 02/13/2015 | Claimant(s): Anthony Fox, Susan Fox
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Warner, Roy J. Moceri, Ann Sattler
Hearing Site: Seattle, WA
| | Expungement |
| 14-01054 | 02/10/2015 | Claimant(s): James Young
Claimant Lawyers(s): Robert H. Stevenson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | $0 |
| 13-01962 | 02/09/2015 | Claimant(s): Donald Bowman, Eileen Bowman
Claimant Lawyers(s): Steven M. Wilker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Linda I. Thomas, William J. Bender, James G. Dawson
Hearing Site: Seattle, WA
| | $0 |
| 14-01532 | 01/16/2015 | Claimant(s): David Gross
Claimant Lawyers(s): David K. Gross
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): John A. Bender
Hearing Site: Seattle, WA
| | $38 |
| 14-00589 | 12/11/2014 | Claimant(s): Brown Family Trust
Claimant Lawyers(s): Scott Brown
Respondent(s): Robin Naylor, Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo, Robin Naylor
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $0 |
| 13-00495 | 12/10/2014 | Claimant(s): Donna Tait, Donna R. Tait IRA, Donna R. Tait Spousal IRA, Tait Marital Deduction Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): Laurie E. Law, Al Van Kampen, Ann Sattler
Hearing Site: Seattle, WA
| | Expungement |
| 14-01005 | 12/02/2014 | Claimant(s): David MacIntyre
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
