| 23-02440 | 02/07/2024 | Claimant(s): Herbert Shiraishi
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Minnie Loo
Hearing Site: Honolulu, HI
| | |
| 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 |
| 23-00287 | 08/02/2023 | Claimant(s): Sean Satterfield
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Terry M Lloyd
Hearing Site: Honolulu, HI
| | |
| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
| | |
| 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 |
| 21-02526 | 05/27/2022 | Claimant(s): David Kimura
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Honolulu, HI
| | |
| 21-01884 | 04/19/2022 | Claimant(s): Grant Yamaguchi
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
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