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 |
19-00905 | 08/30/2019 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Robert B Ericson Respondent(s): David Vigil Respondent Lawyers(s): David Vigil Arbitrator(s): Isidoro Berkman Hearing Site: San Francisco, CA
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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 |
18-04366 | 07/18/2019 | Claimant(s): Eric Anderson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Isidoro Berkman Hearing Site: Seattle, WA
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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 |
17-00825 | 10/03/2017 | Claimant(s): Clarence Yee, Nicholas Cochran Claimant Lawyers(s): Jeffrey S. Kob Respondent(s): Donald Prolo, Joane Prolo Respondent Lawyers(s): Kenneth J. Catanzarite Arbitrator(s): Isidoro Berkman Hearing Site: San Francisco, CA
| | Expungement |
15-01083 | 04/05/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Thomas F. Kopshever Respondent(s): William Krueger Respondent Lawyers(s): Michael C. Bolasina Arbitrator(s): Isidoro Berkman Hearing Site: Seattle, WA
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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 |