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FINRA Awards for John E. Ohashi

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Displaying 10 out of 14 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0131902/05/2020Claimant(s): Steven Moreno
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): John E. Ohashi, Jack R. Goetz, Adam Michael Porter
Hearing Site: Los Angeles, CA
17-0043003/05/2018Claimant(s): Alan Fields
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark Icon$0
14-0368512/08/2015Claimant(s): Thomas Newgard
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Linda Romero, Ron Romero
Respondent Lawyers(s): Linda Romero, Ron Romero
Arbitrator(s): John E. Ohashi
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0238102/20/2015Claimant(s): David Rose, Joanna Speed, Lawrence Rose, Clare Rose Trust, Zaillian Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): John E. Ohashi, June McLaughlin, Janice A. Salter
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0334711/19/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Audrey Kuwabara, Jamie Bennett, Michael Ning, Phillip Rodriguez, Arque Capital, LTD
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): John E. Ohashi, CathyLyn Rossi, Pamela Jane Koslow
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0067705/17/2013Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Zak Shapiro
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): John E. Ohashi, W. Alex King, Erich Daniel Schiefelbine
Hearing Site: Los Angeles, CA
12-0328903/14/2013Claimant(s): John Parmigiani
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Erin Mills
Respondent Lawyers(s): Erin Mills
Arbitrator(s): John E. Ohashi, Salvatore A. Sciortino, Paul Isaac Matloff
Hearing Site: Los Angeles, CA
Expungement
11-0130912/20/2012Claimant(s): Andrew Mo
Claimant Lawyers(s): Andrew Mo
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Jeffrey E. Skogsbergh, John E. Ohashi, Milton N. Gross
Hearing Site: Los Angeles, CA
Checkmark Icon$0
11-0300707/26/2012Claimant(s): Linda Baker, Thomas Baker
Claimant Lawyers(s): C. Maison Heidelberg, Ginny Y. Kennedy
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities
Respondent Lawyers(s): David A. Picon, Erin Durba
Arbitrator(s): Robert D. Sussin, John E. Ohashi, Randall N. Kirk
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
10-0050212/13/2011Claimant(s): Carmela Di Gregorio
Claimant Lawyers(s): Thomas R. Catanese
Respondent(s): Oppenheimer & Co.., Ronald Kunze
Respondent Lawyers(s): Diana H. Sur, Robert J. Girard
Arbitrator(s): John E. Ohashi, Elizabeth A. Copley, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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