| 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 |
| 20-00421 | 08/19/2020 | Claimant(s): Katie Buck
Claimant Lawyers(s): Harris Freedman
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | |
| 19-01978 | 02/04/2020 | Claimant(s): Jeffrey Buck
Claimant Lawyers(s): Erica Harris
Respondent(s): H. Beck., Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor, Richard A. D'Amura
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | |
| 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 |
| 17-03097 | 11/16/2018 | Claimant(s): Darrell Avery
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Bankoh Investment Services.
Respondent Lawyers(s): Joachim Cox
Arbitrator(s): Richard B. Bullock, William W. Haskell, David I. Levine
Hearing Site: Honolulu, HI
| | |
| 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 |
| 18-00758 | 11/01/2018 | Claimant(s): Clifford Robello
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Terry M Lloyd
Hearing Site: Honolulu, HI
| | |
| 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 |
| 17-02678 | 05/14/2018 | Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Keith Evans
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Helen Marinak Blohm, William W. Haskell, Gregory M. Scanlon
Hearing Site: Honolulu, HI
| | Dismissed by Rule 12206 |
