| 23-02890 | 08/06/2024 | Claimant(s): Jay Brown
Claimant Lawyers(s): George C. Miller
Respondent(s): Arete Wealth Management
Respondent Lawyers(s): Joshua Rogers
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 23-01462 | 11/15/2023 | Claimant(s): Donald Johnson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Reno, NV
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| 23-01158 | 11/10/2023 | Claimant(s): Allen Ostrofe
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Reno, NV
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| 23-01139 | 11/07/2023 | Claimant(s): Benjamin Young
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Securities America.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Foothill Securities.
Respondent Lawyers(s): Jeff Naylor
Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 22-02074 | 05/23/2023 | Claimant(s): Jason Hawke
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): LPL Financial LLC, J. P. Turner & Company LLC
Respondent Lawyers(s): David Feldstein, Kelsey Vasko
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Boise, ID
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| 22-01746 | 03/27/2023 | Claimant(s): Patrick Cummings
Claimant Lawyers(s): Brian Neville
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pitzzotola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
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| 18-03175 | 03/23/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA
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| 22-00740 | 01/09/2023 | Claimant(s): Edwin Hodder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Cheyenne, WY
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| 22-01296 | 11/21/2022 | Claimant(s): Kevin Sanchez
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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