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FINRA Awards for Daniel M. Yamshon

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Displaying 10 out of 60 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0159310/14/2024Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Krista Stamper
Respondent Lawyers(s): Krista Ann Stamper
Arbitrator(s): Herbert Liberman, Daniel M. Yamshon, Richard L. Warner
Hearing Site: Anchorage, AK
23-0289008/06/2024Claimant(s): Jay Brown
Claimant Lawyers(s): George C. Miller
Respondent(s): Arete Wealth Management
Respondent Lawyers(s): Joshua Rogers
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
23-0146211/15/2023Claimant(s): Donald Johnson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Reno, NV
23-0115811/10/2023Claimant(s): Allen Ostrofe
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Reno, NV
23-0113911/07/2023Claimant(s): Benjamin Young
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Securities America.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
22-0156708/04/2023Claimant(s): Paul Knoblich
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Foothill Securities.
Respondent Lawyers(s): Jeff Naylor
Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush
Hearing Site: San Francisco, CA
21-0009006/29/2023Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
Checkmark IconExpungement
22-0207405/23/2023Claimant(s): Jason Hawke
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): LPL Financial LLC, J. P. Turner & Company LLC
Respondent Lawyers(s): David Feldstein, Kelsey Vasko
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Boise, ID
22-0174603/27/2023Claimant(s): Patrick Cummings
Claimant Lawyers(s): Brian Neville
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pitzzotola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
18-0317503/23/2023Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA

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