| 14-01638 | 11/11/2014 | Claimant(s): Deborah Cole
Claimant Lawyers(s): John C. Cole
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Fredrick Davis Huebner
Hearing Site: Seattle, WA
|  | $213 |
| 13-01868 | 10/10/2014 | Claimant(s): Afif Hossain
Claimant Lawyers(s): Jack M. Lovejoy
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Ronald E. Lorentsen, Roy J. Moceri, Lawrence E. Little
Hearing Site: Seattle, WA
| | |
| 14-02078 | 09/11/2014 | Claimant(s): Stephen Wormeli
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 13-00154 | 08/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. E. Craig Doupe, Frederick B. Mueller, Peter R. Day
Hearing Site: Seattle, WA
| | |
| 13-03055 | 07/11/2014 | Claimant(s): Richard Borish
Claimant Lawyers(s): Richard Borish
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
| | |
| 13-02812 | 06/11/2014 | Claimant(s): William Dorrance
Claimant Lawyers(s): William H. Dorrance
Respondent(s): Guy Clements
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome O. Cohen
Hearing Site: Seattle, WA
| | $0 |
| 12-00268 | 06/06/2014 | Claimant(s): Alan Stephen, Anthony Cowan, Elling Halvorson, Jennifer Cowan, Jon Michael Smith, Rachel Smith, Scott Tomy, Stacie Gorder, Steve Gorder, Jon-Michael P Smith, IRA
Claimant Lawyers(s): John J. Tollefsen
Respondent(s): Richard Finger, Black Diamond Securities LLC, Interactive Brokers LLC
Respondent Lawyers(s): Joseph S. Owens, Richard Allan Finger, Robert W. Topp
Arbitrator(s): Robert M. Stein, Philip E. Cutler, Todd A. Bloom
Hearing Site: Seattle, WA
| | $100,000 |
| 12-03718 | 05/28/2014 | Claimant(s): Marcia Baker
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Kenneth George
Respondent Lawyers(s): Joel Wright
Arbitrator(s): John F. Cockburn, Roy J. Moceri, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 12-00540 | 04/17/2014 | Claimant(s): Alma Kern, James Kern, John Kern, James & John Foundation, Kern Family LLC
Claimant Lawyers(s): John A. Bender
Respondent(s): Phillip Frink, Richard Finger, Interactive Brokers LLC
Respondent Lawyers(s): Ralph H. Palumbo, Richard A. Finger, Robert W. Topp
Arbitrator(s): Joseph C. Roberts, T. Dennis George, John P. Payseno
Hearing Site: Seattle, WA
| | $3,048,200 |
| 12-03139 | 04/17/2014 | Claimant(s): Dorothy Sivo, Lighthouse Point
Claimant Lawyers(s): Christopher P. Mader
Respondent(s): Craig Johnsen, Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group
Respondent Lawyers(s): William E. Fitzharris
Arbitrator(s): David W. Evans, Todd A. Bloom, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Expungement |
