| 09-05807 | 10/27/2010 | Claimant(s): Andrew Becker, Donna Fisher, Andrew N. Becker Simplified Plan
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Russell B. Wuehler
Arbitrator(s): William J. Bender, James K. Barbee, Gary Ray Edwards
Hearing Site: Seattle, WA
|  | Expungement |
| 10-00383 | 09/27/2010 | Claimant(s): Alan Thietje and Michelle Thietje
Claimant Lawyers(s): Mark K. Davis
Respondent(s): Angelo Cortes, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
| | $25,425 |
| 10-00750 | 08/19/2010 | Claimant(s): Fortune and Robin Pestarino Jt Tenants
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
| | $4,481 |
| 09-04019 | 07/30/2010 | Claimant(s): Marcia Baker
Claimant Lawyers(s): Al Van Kampen
Respondent(s): William Savary, Global Trading Group.
Respondent Lawyers(s): William Savary
Arbitrator(s): Thomas R. Dreiling, Kim D. Stephens, Courtland T. Shafer
Hearing Site: Seattle, WA
| | |
| 10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Jeffrey Hollingsworth
Respondent Lawyers(s): Jeffrey Scott Hollingsworth
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 09-06424 | 06/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Brian Gass
Respondent Lawyers(s): Brian Lewis Gass
Arbitrator(s): Elwood C. Avery
Hearing Site: Seattle, WA
| | |
| 08-03173 | 06/24/2010 | Claimant(s): Donald E. Miller and Maxine L. Miller
Claimant Lawyers(s): John A. Bender
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Higendorff
Arbitrator(s): William J. Bender, Melvyn Jay Simburg, Fredrick John Bahr
Hearing Site: Seattle, WA
| | $479,880 |
| 09-06614 | 06/24/2010 | Claimant(s): Harbor Press.
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $19,168 |
| 09-06482 | 06/17/2010 | Claimant(s): William Tudor, William A. Tudor and Kathleen Tudor
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $15,368 |
| 09-03050 | 05/07/2010 | Claimant(s): Shan Kumar
Claimant Lawyers(s): William A. Linton
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Roy J. Moceri
Hearing Site: Seattle, WA
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