| 23-02890 | 08/06/2024 | Claimant(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
| | |
| 23-01462 | 11/15/2023 | Claimant(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
| | |
| 23-01158 | 11/10/2023 | Claimant(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
| | |
| 23-01139 | 11/07/2023 | Claimant(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
| | |
| 22-01567 | 08/04/2023 | Claimant(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
| | |
| 21-00090 | 06/29/2023 | Claimant(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
|  | Expungement |
| 22-02074 | 05/23/2023 | Claimant(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
| | |
| 22-01746 | 03/27/2023 | Claimant(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
| | |
| 18-03175 | 03/23/2023 | Claimant(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
| | |
| 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 |
