| 09-00543 | 07/16/2012 | Claimant(s): Robert Sapp
Claimant Lawyers(s): James K. Barbee
Respondent(s): Howard Pinson, ING Financial Partners.
Respondent Lawyers(s): Louis H. Castoria, Shannon L. McDougald
Arbitrator(s): Bryon P. Fusini, Paul Davis Pearlstein, Robert Charkovsky
Hearing Site: Washington, DC
|  | $190,000 |
| 10-03113 | 06/08/2012 | Claimant(s): Oliver Schwarz
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings.
Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald
Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 12-00102 | 06/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Frank Guzman
Respondent Lawyers(s): Frank Jesus Guzman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 11-04314 | 05/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | |
| 10-02729 | 08/08/2011 | Claimant(s): Tim Joslen
Claimant Lawyers(s): David A. Sacks
Respondent(s): Gary Akiyama, Symetra Investment Services.
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Thomas L. Reveley, Frederic E. Dorkin, T. Dennis George
Hearing Site: Seattle, WA
| | $293,633 |
| 09-00634 | 04/14/2010 | Claimant(s): Joan Sharpless, J&J Trust
Claimant Lawyers(s): Stephen D. Phillabaum
Respondent(s): Ameriprise Financial Services., Centaurus Financial.
Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald
Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $58,800 |
| 08-00852 | 02/11/2010 | Claimant(s): Multi-Financial Securities Corporation
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Angel Chi, Banc Of America Securities LLC
Respondent Lawyers(s): Angel Chi, Robert J. Anello
Arbitrator(s): Dennis R. Frohlich, Bradford J. Lam, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 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 |
