| 10-05095 | 10/11/2011 | Claimant(s): Eugene Wakai
Claimant Lawyers(s): Eugene S. Wakai
Respondent(s): Audrey Kuwabara, Michael Ning
Respondent Lawyers(s): Audrey Mari Kuwabara, Michael Cheng Ning
Arbitrator(s): Hadden Wing Roth
Hearing Site: Honolulu, HI
| | |
| 10-05295 | 04/26/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Shurter
Respondent(s): Carolyn Haik
Respondent Lawyers(s): Carolyn J. Haik
Arbitrator(s): Herbert Murez
Hearing Site: Honolulu, HI
| | |
| 09-06111 | 04/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Carl Choy, Erin Choy, Lynn Kinney, Ronald Wo
Respondent Lawyers(s): Jerry M. Hiatt, Rex Y. Fujichaku, Susan M. Ichinose
Arbitrator(s): Herb Schwartz, Tobin B. Swanson, Richard Bruce Dole
Hearing Site: Honolulu, HI
|  | $0 |
| 10-04948 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Stephen Baxter
Respondent Lawyers(s): Stephen Lee Baxter
Arbitrator(s): James N. D'Orso
Hearing Site: Honolulu, HI
| | |
| 09-00268 | 02/03/2011 | Claimant(s): Avis Nakama, Barbara Porter, Kazuko Tietz, Laureen Branch, Marjorie Parker, Melvin Aoki, Piikoi Kawananakoa, Blur Industries., Branch Holdings., Just Black, Lum Borthers, Avis Y. Nakama Trust, Barbara Porter Revocable Trust, Melvin R. Aoki Revocable Living Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Clifford Popper, Ellyn Mccolgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Travis Branch, William Betta
Respondent Lawyers(s): Brian J. Ellis, Clifford Alan Popper, H Thomas Fehn, Kevin G. Fitzgerald, Michael R. Weissman, Tracy L. Gerber, Travis Anthony Branch
Arbitrator(s): Harry B. Endsley, Harriette L. Holt, Richard Bruce Dole
Hearing Site: Honolulu, HI
| | Expungement |
| 10-01848 | 12/01/2010 | Claimant(s): Pamela Mah
Claimant Lawyers(s): Pamela K. Mah
Respondent(s): Financial Advisers of America
Respondent Lawyers(s): Todd Pack
Arbitrator(s): Helen Marinak Blohm, Robert G. Miller, Edwin C. Shiver
Hearing Site: Honolulu, HI
| | |
| 10-02179 | 11/03/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Carolyn Haik
Respondent Lawyers(s): Carolyn J. Haik
Arbitrator(s): Herb Schwartz
Hearing Site: Honolulu, HI
| | |
| 07-03390 | 10/01/2010 | Claimant(s): Sharon Larocque, IRA
Claimant Lawyers(s): Sharon Larocque
Respondent(s): Travis Branch, Brookstreet Securities Corporation
Respondent Lawyers(s): H Thomas Fehn, Travis A. Branch
Arbitrator(s): Harry B. Endsley, Gary A. Hooker, Carol M. Egan
Hearing Site: Honolulu, HI
| | $0 |
| 09-01685 | 06/18/2010 | Claimant(s): Kenneth S. L. Ching and Anita N. Ching
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Gregory Kwan, Charles Schwab & Co..
Respondent Lawyers(s): Michele Fron
Arbitrator(s): James R. Dickson, Laura Effel, Walter H. Ikeda
Hearing Site: Honolulu, HI
| | Expungement |
| 09-03470 | 04/21/2010 | Claimant(s): Honolulu Professional SVCS LTD U/A
Claimant Lawyers(s): Margery S. Bronster
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Frank R Weaver, Carol M. Egan, Theodore G. Ray
Hearing Site: Honolulu, HI
| | $45,000 |
