| 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 |
| 22-00740 | 01/09/2023 | Claimant(s): Edwin Hodder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Cheyenne, WY
| | |
| 22-01296 | 11/21/2022 | Claimant(s): Kevin Sanchez
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 21-02124 | 04/25/2022 | Claimant(s): Mearu Takatsu
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Investments, TD Ameritrade., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Bryce Cullinane, Valerie Holder
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 20-02277 | 01/18/2022 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-00530 | 09/23/2021 | Claimant(s): Wen Wu
Claimant Lawyers(s): Zachary T. Hayes- Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-00023 | 09/15/2021 | Claimant(s): Grant Cleghorn, Stephen Saeta
Claimant Lawyers(s): Zachary Morse
Respondent(s): Parnassus Funds Distributor
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 20-00668 | 08/27/2021 | Claimant(s): Estate of Gary Lynnes
Claimant Lawyers(s): Ty Lynnes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Daniel M. Yamshon, Barbara M. Anscher, Kerry C. Koep
Hearing Site: Bismarck, ND
| | Expungement |
