| 22-02883 | 05/01/2023 | Claimant(s): Tongzhou Luo
Claimant Lawyers(s): Tongzhou Luo
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Isidoro Berkman
Hearing Site: Seattle, WA
|  | $175 |
| 18-03757 | 12/11/2020 | Claimant(s): Allen Chick
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Isidoro Berkman, Reuel Kenneth Fish, Sally Ann LaJoie
Hearing Site: Portland, OR
| | Settlement |
| 18-03452 | 08/13/2019 | Claimant(s): Rao Palanki
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Dustin Martin, Madison Avenue Securities.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Isidoro Berkman, Mark Lee Haggard, Lorena Reynolds
Hearing Site: Portland, OR
| | Expungement |
| 18-01177 | 04/03/2019 | Claimant(s): Pamela Palmer
Claimant Lawyers(s): Steven Winick
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Mary Suhr
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $127,000 |
| 13-01505 | 11/21/2016 | Claimant(s): Joan Wager, Joyce Haber, Lucinda Page, Martha Fakhoury, Maurice Fakhoury, Peter Neuwirth, Sam Regen, Steven Terusaki
Claimant Lawyers(s): Steven J. Rotunno
Respondent(s): Krittibas Ray
Respondent Lawyers(s): Krittibas Ray
Arbitrator(s): Isidoro Berkman, Wendi Lee Eckardt, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $100,000 |
| 14-01816 | 10/04/2016 | Claimant(s): Barbara Padillia, Douglas Beal, Joseph Lujan, Linda Rapella, Lori Palmquist, Mae Holloway, Marjorie Gillman, Marylou Oliver
Claimant Lawyers(s): Andrew H. Schwartz, Frank F. Sommers
Respondent(s): Royal Alliance Associates., Kathleen Tarr, Richard McCollam
Respondent Lawyers(s): Paul W. Thomas, Theodore J. Sawicki
Arbitrator(s): Isidoro Berkman, Peter H. Daly, Mario Singleton
Hearing Site: San Francisco, CA
| | $1,933,000 |
| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | Expungement |
| 13-03071 | 12/02/2015 | Claimant(s): Genesis Venture Capital Corporation, S.E.A. Land Development
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): TD Ameritrade., Thinkorswim.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | $0 |
| 06-02977 | 03/07/2008 | Claimant(s): Rayna Brown
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): J.P. Morgan Securities., John Anderson, PFG Distribution Company
Respondent Lawyers(s): Robert J. Stumpf, Jr.
Arbitrator(s): Isidoro Berkman, William Michael Samsel, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $99,963 |
