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FINRA Awards for David Wakukawa

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0251501/27/2017Claimant(s): Lyn Freeman, Lyn A Freeman Revocable Trust U/A11/5/12
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Jonathan Lee, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): David Wakukawa, Edward Zusman
Arbitrator(s): Jonathan H. Krotinger, Urs Laeuchli, Robert James Favole
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0001308/25/2015Claimant(s): S & S Farms.
Claimant Lawyers(s): Richard Sacks
Respondent(s): Philip Pizelo, Shanon Ford, Toni Sutherland
Respondent Lawyers(s): David Wakukawa, Philip A. Pizelo, Shanon L. Ford
Arbitrator(s): James N. D'Orso, Thomas D. Reese, Edward J. Harkins
Hearing Site: San Francisco, CA
Checkmark IconExpungement
11-0142407/12/2013Claimant(s): Mary Anne Barreiro
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Anthony Vlahiotis, George Carathimas, Ameritas Investment Corp.
Respondent Lawyers(s): David Wakukawa, Louis H. Castoria, Richard Sacks
Arbitrator(s): Richard L. Rubin, Nick G. Tarlson, George King
Hearing Site: San Francisco, CA
Checkmark IconExpungement

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