| 23-02867 | 03/13/2024 | Claimant(s): Richard Stewart
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Karen H. Chapman
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
| | |
| 23-01339 | 01/08/2024 | Claimant(s): Brennan Mayfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 22-01925 | 12/12/2023 | Claimant(s): Christopher Berthold
Claimant Lawyers(s): Christopher Berthold
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Arocles Aguilar
Hearing Site: Seattle, WA
|  | Dismissed by Rule 12212 and 12511 |
| 23-00186 | 10/12/2023 | Claimant(s): Stephen Haff
Claimant Lawyers(s): Stephen August Haff
Respondent(s): Brian Wakefield, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Thomas R. Dreiling, Kate Jacobson, Leslie Elliot Maerov
Hearing Site: Seattle, WA
| | $0 |
| 23-01198 | 09/13/2023 | Claimant(s): Suzanne Oney, Tod Oney
Claimant Lawyers(s): Tod Oney
Respondent(s): Randall Duggan, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | $600 |
| 22-02804 | 07/26/2023 | Claimant(s): Elliott Johnson
Claimant Lawyers(s): Christopher G. Lazarini
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
| | |
| 22-01976 | 06/05/2023 | Claimant(s): Meris Collier
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
| | |
| 22-02412 | 05/18/2023 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): DeVere Dudley
Respondent Lawyers(s): DeVere Scott Dudley
Arbitrator(s): James F. Zotter
Hearing Site: Seattle, WA
| | |
| 21-02041 | 05/02/2023 | Claimant(s): Eda Lee Haas, Julia Berg, Phillip Haas, Sandra Gollofon, Susan Meyers
Claimant Lawyers(s): Duncan E Manville
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Elwood C. Avery, Cheung David Chhieng, Katherine L Sidener
Hearing Site: Seattle, WA
| | $0 |
| 22-02883 | 05/01/2023 | Claimant(s): Tongzhou Luo
Claimant Lawyers(s): Tongzhou Luo
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Isidoro Berkman
Hearing Site: Seattle, WA
| | $175 |
