| 06-01817 | 06/30/2008 | Claimant(s): Akhil Shah, Rajnikant Shah
Claimant Lawyers(s): Michael M. Feinberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): Craig Charles Beles, Charles M. Ackerman, Stephen E. DeForest
Hearing Site: Seattle, WA
|  | $0 |
| 07-03183 | 06/13/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David George
Respondent Lawyers(s): David George
Arbitrator(s): Richard D. Brady
Hearing Site: Seattle, WA
| | $0 |
| 03-07132 | 03/19/2008 | Claimant(s): Ischemia Research & Education Foundation
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder
Hearing Site: Seattle, WA
| | $0 |
| 07-02342 | 03/18/2008 | Claimant(s): Comprehensive Wealth Management L.L.C.
Claimant Lawyers(s): Kent Millikan
Respondent(s): Mark Lindberg and Darlene Lindberg
Respondent Lawyers(s): Mark and Darlene Lindberg
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
| | $1,897 |
| 07-01660 | 12/07/2007 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Sam Aaron and Erika M. Adams
Respondent Lawyers(s): Sam Aaron
Arbitrator(s): Richard E. Keefe
Hearing Site: Seattle, WA
| | $0 |
| 06-01149 | 11/26/2007 | Claimant(s): Quinault Indian Nation
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): Keybanc Capital Markets Inc., David Hohimer, Michelle Hansen
Respondent Lawyers(s): Rudy Englund, Shannon L. McDougald
Arbitrator(s): Michael W. Reinhardt, John F. Cockburn, Laurie E. Law
Hearing Site: Seattle, WA
| | $391,766 |
| 06-03042 | 10/03/2007 | Claimant(s): Kenneth Merwin
Claimant Lawyers(s): Kenneth Jeffrey Merwin
Respondent(s): Dennis Breitenstein
Respondent Lawyers(s): Dennis Lee Breitenstein
Arbitrator(s): James M. Shaker, Judith A. Cochrane, Lisa E. Schuchman
Hearing Site: Seattle, WA
| | |
| 07-01358 | 09/21/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joan Toro
Respondent(s): Elmer Johnson
Respondent Lawyers(s): Elmer Johnson
Arbitrator(s): Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
| 07-00567 | 08/20/2007 | Claimant(s): Quinn R. and Ann D. Owen JTWROS
Claimant Lawyers(s): Quinn R. Owen
Respondent(s): Brian Sanders, Christopher Atteo, Clayton Sontag
Respondent Lawyers(s): Christopher B. Atteo, Norman B. Arnoff
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
| | Expungement |
| 06-03507 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Brian Knotts, Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Joan Helen Lukasik, Jerome O. Cohen, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | |
