Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 12-04331 | 03/27/2014 | Claimant(s): Melvin Hall Claimant Lawyers(s): Benjamin Lapin Respondent(s): Morgan Stanley Respondent Lawyers(s): Gregg P. Garneau Arbitrator(s): Joseph C. Roberts, James A. Vawter, Jerome O. Cohen Hearing Site: Seattle, WA |  | Expungement |
| 11-04703 | 03/20/2014 | Claimant(s): Daniel Levine, Stacy Levine Claimant Lawyers(s): Mathew L. Harrington Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Paul J. Schumacher Arbitrator(s): James M. Shaker, Imants J. Leskinovitch, David William Hickman Hearing Site: Seattle, WA | | Expungement |
| 13-02491 | 03/13/2014 | Claimant(s): James T. and Sandee K. Waller Claimant Lawyers(s): James T. Waller Respondent(s): Neal Kloke Respondent Lawyers(s): Ryan Probstfeld Arbitrator(s): Charles Scott McClellan Hearing Site: Seattle, WA | | $10,300 |
| 13-02572 | 03/04/2014 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): John R. Bamford Respondent(s): Michael Rose Respondent Lawyers(s): Michael Stevan Rose Arbitrator(s): Robert M. Stein Hearing Site: Seattle, WA | ||
| 12-04077 | 02/10/2014 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Matthew Fischer Respondent(s): Matthew Burke Respondent Lawyers(s): Matthew K. Burke Arbitrator(s): Robert M. Stein Hearing Site: Seattle, WA | ||
| 11-01933 | 01/17/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Samuel Bensen Respondent Lawyers(s): Samuel M. Bensen Arbitrator(s): Joseph C. Roberts, William J. Bender, Frederick B. Mueller Hearing Site: Seattle, WA | ||
| 13-01921 | 12/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan Berg Respondent(s): Peter Yao Respondent Lawyers(s): Peter Yao Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA | ||
| 13-00182 | 10/28/2013 | Claimant(s): Bradley Shull, Kathryn Shull Claimant Lawyers(s): Bradley Shull Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gregory M. Scanlon Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA | | $0 |
| 13-01084 | 10/01/2013 | Claimant(s): Chris W. Ditlefsen, Susan J. Ditlefsen Claimant Lawyers(s): Chris W. Ditlefsen Respondent(s): Paul Moore Respondent Lawyers(s): Robert J. Bocko Arbitrator(s): David W. Evans, Joan M. Schroeder, Jane Ann McKenzie Hearing Site: Seattle, WA | | Dismissed by Rule 12206 |
| 13-01076 | 09/16/2013 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Leo Kogan Respondent(s): Richard Borish Respondent Lawyers(s): Richard E. Borish Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA |