| 23-00066 | 11/28/2023 | Claimant(s): Gorospe Trust, Andre Gorospe, Trustee
Claimant Lawyers(s): Richard Haas
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Mary Margaret Bush
Hearing Site: Honolulu, HI
|  | Expungement |
| 21-02729 | 02/28/2023 | Claimant(s): Michael Phillips
Claimant Lawyers(s): Courtney M. Werning
Respondent(s): Asia Pacific Financial Management Group
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Daniel M. Yamshon, Mary Margaret Bush, Alden Sharp Adkins
Hearing Site: Honolulu, HI
| | $3,042,160 |
| 21-00945 | 09/02/2022 | Claimant(s): Cestmir Herstus, Mary McGinley, C Herstus & M C McGuinley 1999 Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wealthforge Securities
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Minnie Loo, Norman S. Nayfach, Sarah-Jane Allen
Hearing Site: Honolulu, HI
| | $479,699 |
| 21-01716 | 07/27/2022 | Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
| | $80,000 |
| 19-02276 | 06/13/2022 | Claimant(s): Shuichi Iizumi, Hatsu Corporation
Claimant Lawyers(s): Shuichi Iizumi
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Katherine Hendricks, Bernard F. Vail, Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $100,607 |
| 20-04098 | 01/13/2022 | Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
| | $281,500 |
| 17-01086 | 01/22/2020 | Claimant(s): Reuben Nemoto
Claimant Lawyers(s): Mitchell S. Wong
Respondent(s): Chirag Dave, Pacific Financial Partners LLC
Respondent Lawyers(s): Matthew C. Shannon
Arbitrator(s): Barbara M. Anscher, Christopher W. Allick, Michael Craig Butterworth
Hearing Site: Honolulu, HI
| | Settlement |
| 19-01891 | 12/18/2019 | Claimant(s): Toby Hazel
Claimant Lawyers(s): Toby S. Hazel
Respondent(s): David Hall, Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Jon H. Sylvester
Hearing Site: Honolulu, HI
| | $0 |
| 18-02347 | 11/06/2018 | Claimant(s): Ji Qiao Liang and Yuet Chun F Liang JT
Claimant Lawyers(s): Sherwin S Louie
Respondent(s): Carmen Iao, Cetera Investment Services LLC.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | $1,016 |
| 18-01470 | 09/26/2018 | Claimant(s): Michelle Banasch
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Carol M. Egan
Hearing Site: Honolulu, HI
| | $17,703 |
