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FINRA Awards for Seattle, WA

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Displaying 291-300 out of 321 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0203912/01/2009Claimant(s): Lee Crawford
Claimant Lawyers(s): Lee Ryan Crawford
Respondent(s): Deborah Calder, U.S. Bancorp Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
Checkmark Icon$1
08-0387411/24/2009Claimant(s): Arlan Coulter
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Daniel Wiersma, Edward Grogan, Commonwealth Equity Services.
Respondent Lawyers(s): Charles A. Lyman
Arbitrator(s): Michael W. Reinhardt, John M. Casey, Michael R.E. Sanders
Hearing Site: Seattle, WA
Checkmark Icon$84,972
08-0305511/10/2009Claimant(s): Pope Resources LP
Claimant Lawyers(s): Martin S. Siegel
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Daniel Paul Harris, Paul R. Meyer, Robert W. Pillitteri
Hearing Site: Seattle, WA
Checkmark Icon$0
09-0257409/28/2009Claimant(s): Gary Bech
Claimant Lawyers(s): Raymond S. Weber
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael R.E. Sanders
Hearing Site: Seattle, WA
Checkmark Icon$213
08-0344409/23/2009Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Bruce Trang, Morgan Stanley & Co.
Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich
Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
08-0080109/15/2009Claimant(s): National Alliance Capital
Claimant Lawyers(s): John F. Redwine
Respondent(s): Stephen Jencks
Respondent Lawyers(s): Stephen Jencks
Arbitrator(s): Peter G. Walker, Richard D. Brady, Kim D. Stephens
Hearing Site: Seattle, WA
09-0158308/18/2009Claimant(s): Est. of Marie P. Buchanan by Daine Bucha, Buchanan Living Trust by Diane Buchanan
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
Checkmark Icon$3,525
09-0052206/25/2009Claimant(s): Michael R. Ladanyi, IRA
Claimant Lawyers(s): Michael R. Ladanyi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James M. Shaker
Hearing Site: Seattle, WA
Checkmark Icon$88
08-0115406/05/2009Claimant(s): Richard Soshea
Claimant Lawyers(s): Tom Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Michael R.E. Sanders, Charles M. Ackerman, David William Hickman
Hearing Site: Seattle, WA
Checkmark Icon$0
08-0098804/29/2009Claimant(s): Kimberly Arntz, Neil Arntz, Neil J. Arntz, Custodian for Rio A.Arnt, Arntz Family Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Jeanne C. Stilwell, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Seattle, WA
Checkmark Icon$48,879

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