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115197.0056/1326505.1 

LANE POWELL PC

1420 FIFTH AVENUE, SUITE 4100 

SEATTLE, WASHINGTON 98101-2338 

206.223.7000 FAX: 206.223.7107 

PROPOSED ORDER RE EXPUNGEMENT - 1 

CV06-5163 RJB 

LANE POWELL PC

Julie K. Thrall, WSBA No. 27240 

thrallj@lanepowell.com 

1420 Fifth Avenue, Suite 4100 

Seattle, Washington 98101-2338 

Telephone: 206.223.7000 

Facsimile: 206.223.7107 

Attorneys for RBC Dain Rauscher Inc. and 

Robert Lance Posner 

THE HONORABLE ROBERT J. BRYAN

UNITED STATES DISTRICT COURT 

WESTERN DISTRICT OF WASHINGTON 

AT TACOMA 

BURRELL MARSH ALLEN and HELEN 

ALLEN AS TRUSTEES OF THE ALLEN 

LIVING TRUST, 

 Plaintiffs, 

v. 

RBC DAIN RAUSCHER INC., ROBERT 

LANCE POSNER, 

 Defendants. 

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No. CV 06-5163 RJB 

ORDER AND JUDGMENT 

CONFIRMING AWARD AND 

DIRECTING EXPUNGEMENT OF 

CRD RECORDS 

[Clerk’s Action Required]

I. HEARING

 The application by Defendants for confirmation of the Award and entry of judgment 

came on for hearing before the above Court. 

 The Court considered the pleadings on file, including the Award, which is attached 

hereto and was attached as Exhibit A to the Declaration of Julie K. Thrall in Support of 

Motion to Confirm Arbitration Award and Enter Judgment. 

Case 3:06-cv-05163-RJB Document 30 Filed 11/14/2006 Page 1 of 3

Allen et al v. RBC Dain Rauscher Inc. et al Doc. 30

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115197.0056/1326505.1 

LANE POWELL PC

1420 FIFTH AVENUE, SUITE 4100 

SEATTLE, WASHINGTON 98101-2338 

206.223.7000 FAX: 206.223.7107 

PROPOSED ORDER RE EXPUNGEMENT - 2 

CV06-5163 RJB 

II. ORDER AND JUDGMENT 

 The Court confirms the Award reached by the NASD Dispute Resolution arbitration 

panel in the proceeding between the above named parties, Case No. 05-03363, which is 

incorporated herein by reference, and enters judgment as follows: 

 In accordance with The Panel’s Award, all references to arbitration matter No. 05-

03363 are to be expunged from the CRD records of Defendant Robert Posner. Upon entry of 

this judgment the Central Registration Depository will expunge all reference to this 

arbitration, Case No. 05-03363, in the records of Robert Posner, including all references to the 

claims and allegations therein. 

 DATED this 14th day of November 2006. 

 A 

 Robert J. Bryan 

 United States District Judge 

Presented by: 

LANE POWELL PC 

By s/Julie K. Thrall 

 Julie K. Thrall, WSBA No. 27240 

Attorneys for Defendants 

RBC Dain Rauscher Inc. 

Robert Posner 

Case 3:06-cv-05163-RJB Document 30 Filed 11/14/2006 Page 2 of 3
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115197.0056/1326505.1 

LANE POWELL PC

1420 FIFTH AVENUE, SUITE 4100 

SEATTLE, WASHINGTON 98101-2338 

206.223.7000 FAX: 206.223.7107 

PROPOSED ORDER RE EXPUNGEMENT - 3 

CV06-5163 RJB 

CERTIFICATE OF SERVICE

 Pursuant to RCW 9.A.72.085, the undersigned certifies under penalty of perjury under 

the laws of the State of Washington, that on the 14th day of November 2006, the document 

attached hereto was presented to the Clerk of the Court for filing and uploading to the 

CM/ECF system. In accordance with their ECF registration agreement and the Court's rules, 

the Clerk of the Court will send e-mail notification of such filing to the following persons: 

Ari Y. Brown 

Bergman & Frockt 

705 Second Avenue, Suite 1601 

Seattle, WA 98104 

 Dated this 14th day of November 2006. 

 s/Patricia Stockwell 

 Patricia Stockwell 

 

Case 3:06-cv-05163-RJB Document 30 Filed 11/14/2006 Page 3 of 3