21-00748 | 07/19/2022 | Claimant(s): Darius Ghoddoussi Claimant Lawyers(s): William A. Kinsel Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer Tomsen Arbitrator(s): Elwood C. Avery, Scott D. Rash, Joseph L. Carman Hearing Site: Seattle, WA
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21-02703 | 05/13/2022 | Claimant(s): Peter Joers Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Securities LLC Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Stephany Adriene Watson Hearing Site: Seattle, WA
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21-00877 | 05/12/2022 | Claimant(s): Emily Thompson Claimant Lawyers(s): Daniel P. Thompson. Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): Joseph C. Roberts Hearing Site: Seattle, WA
| | Expungement |
21-01346 | 05/12/2022 | Claimant(s): Richard Benge Claimant Lawyers(s): Richard D Benge Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): William Walsh Arbitrator(s): James E. Bartels Hearing Site: Seattle, WA
| | $0 |
19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li Claimant Lawyers(s): Robert Rosen Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Daniel A. Spector Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger Hearing Site: Seattle, WA
| | $0 |
21-01120 | 04/04/2022 | Claimant(s): Brian Decker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Pacific West Securities. Respondent Lawyers(s): Corporate Officer, Jennifer E. Novoselsky Arbitrator(s): Stephany Adriene Watson, Joan M. Schroeder, Charles Scott McClellan Hearing Site: Seattle, WA
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20-04000 | 03/28/2022 | Claimant(s): Kevin Stokesbary Claimant Lawyers(s): Shannon McDougald Respondent(s): MML Investors Services Respondent Lawyers(s): William P. Thornton Arbitrator(s): William J. Bender, Steven Phillip Caplow, Jane Ann McKenzie Hearing Site: Seattle, WA
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20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig Claimant Lawyers(s): Jason T. Dennett Respondent(s): Judah Piano, Scott Martin, MML Investors Services Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson Hearing Site: Seattle, WA
| | Expungement |
20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA Claimant Lawyers(s): Mark C. Santi Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC Respondent Lawyers(s): Christopher A. Stecher, David Luger Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe Hearing Site: Seattle, WA
| | $0 |
21-01308 | 02/10/2022 | Claimant(s): Shannon Freeland Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors, J.P. Morgan Securities Respondent Lawyers(s): Michael J. Biondi, Neal S. Robb Arbitrator(s): David William Hickman Hearing Site: Seattle, WA
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