| 10-00952 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Mark Graham
Respondent Lawyers(s): Robert J. Girard, II
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, William R. Hickman
Hearing Site: Seattle, WA
| | |
| 11-01811 | 11/01/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): John Monaghan
Respondent Lawyers(s): Al Van Kampen
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
| | |
| 10-03857 | 10/20/2011 | Claimant(s): Mary C. Gregory Trust U/A DTD 10/5/77
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Mutual Service Corporation
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): John A. Bender
Hearing Site: Seattle, WA
|  | Dismissed by Rule 12206 |
| 10-03477 | 10/20/2011 | Claimant(s): Third Andresen
Claimant Lawyers(s): Third H. Andresen
Respondent(s): Jon Elayda, The Investment Center.
Respondent Lawyers(s): Jon Nguyen Elayda, Peter B. Wells
Arbitrator(s): William W. Anderson, G. E. Craig Doupe, Lawrence R. Mills
Hearing Site: Seattle, WA
| | $0 |
| 10-02204 | 09/22/2011 | Claimant(s): Charles Miller, Debra Miller, Miller Family Trust
Claimant Lawyers(s): Patrick C. Quinlivan
Respondent(s): Aldo Ciuffetelli, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John A. Bender, Frederic E. Dorkin, James K. Barbee
Hearing Site: Seattle, WA
| | $0 |
| 10-03587 | 08/19/2011 | Claimant(s): Cindy Tronsrue, Florence Tronsrue, George Tronsrue, Nancy Frei, Jericho Fund
Claimant Lawyers(s): Donald H. Mullins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Joseph C. Roberts, Peter L. Sill, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | $0 |
| 10-01749 | 08/17/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ronald Barton
Respondent Lawyers(s): Fredrick D. Huebner
Arbitrator(s): Robert E. Meston, G. E. Craig Doupe, Lisa E. Schuchman
Hearing Site: Seattle, WA
| | |
| 10-02729 | 08/08/2011 | Claimant(s): Tim Joslen
Claimant Lawyers(s): David A. Sacks
Respondent(s): Gary Akiyama, Symetra Investment Services.
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Thomas L. Reveley, Frederic E. Dorkin, T. Dennis George
Hearing Site: Seattle, WA
| | $293,633 |
| 10-04720 | 08/05/2011 | Claimant(s): Paul Jarvis
Claimant Lawyers(s): Paul Victor Jarvis
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Erin Davenport
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | |
| 10-00377 | 08/04/2011 | Claimant(s): Anne Erickson, Robert Erickson
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Craig Johnsen, TD Ameritrade., Norman Price, Ronald Robertson, RP Capital LLC, Strategic Capital Group LLC
Respondent Lawyers(s): James J. Vihstadt, William E. Fitzharris
Arbitrator(s): John A. Bender, Thomas D. Cochran, Richard L. Warner
Hearing Site: Seattle, WA
| | $65,013 |
