| 09-02224 | 07/18/2011 | Claimant(s): Wamu Investments.
Claimant Lawyers(s): Christopher B. Wells
Respondent(s): Dag Olov Brandfors, Joshua Hummel, Teresa Herrick
Respondent Lawyers(s): Richard Brady
Arbitrator(s): David W. Evans, Carl J. Carlson, Charles M. Ackerman
Hearing Site: Seattle, WA
| | |
| 09-04679 | 06/07/2011 | Claimant(s): Thomas Gant, Gant-Springville Corners
Claimant Lawyers(s): Mark A. Friel
Respondent(s): James Feek
Respondent Lawyers(s): Marco Magnano
Arbitrator(s): Robert M. Stein, Lisa E. Schuchman, Parker Arthur Montgomery
Hearing Site: Seattle, WA
|  | Expungement |
| 09-01369 | 05/27/2011 | Claimant(s): James Jordan
Claimant Lawyers(s): James H. Jordan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Joseph C. Roberts, Bonny Kathleen Riggs, Laurie E. Law
Hearing Site: Seattle, WA
| | Stipulated Award and Expungement |
| 10-05132 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Maehl
Respondent Lawyers(s): Michael Maehl
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | |
| 10-00752 | 05/09/2011 | Claimant(s): Marcy Tobin, Estate of Stanley Tobin
Claimant Lawyers(s): Patrick L. Hinton
Respondent(s): Brandi Cohen, Chase Investment Services Corp.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): William J. Rex, Katherine Hendricks, Linda I. Thomas
Hearing Site: Seattle, WA
| | $0 |
| 10-01547 | 05/02/2011 | Claimant(s): Cyndi R. Olejar Living Trust, Sonya J. Olejar Living Trust dd 12/14/98
Claimant Lawyers(s): Richard D. Brady
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 09-04284 | 04/07/2011 | Claimant(s): John Mills, Judith Mills
Claimant Lawyers(s): Dennis H. Walters
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Paul R. Meyer, Lawrence R. Mills, Parker Arthur Montgomery
Hearing Site: Seattle, WA
| | $0 |
| 09-06806 | 03/25/2011 | Claimant(s): John P. Cogan & Jemma J. Cogan JTWROS
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen-Bright
Arbitrator(s): Robert M. Stein, William J. Bender, Paul Michael Webber
Hearing Site: Seattle, WA
| | $48,514 |
| 10-00344 | 03/07/2011 | Claimant(s): Curt Lehner
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): Brian Peterson, Clark Johnston, Jeffrey Peterson, Jonathan Peterson, Robert Tew, Todd Groskreutz, Alpine Securities Corporation
Respondent Lawyers(s): Steven G. Loosle
Arbitrator(s): Peter G. Walker, Laurie E. Law, William J. Bender
Hearing Site: Seattle, WA
| | $0 |
| 09-02727 | 02/28/2011 | Claimant(s): Ronald Woolworth
Claimant Lawyers(s): Randy J. Aliment
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Robert M. Stein, Clarence F. Roed, Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
