12-04233 | 08/21/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica Klein Respondent(s): Edward Zerweck Respondent Lawyers(s): Edward Herman Zerweck Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
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12-01712 | 07/12/2013 | Claimant(s): Robert Epperson IRA Claimant Lawyers(s): Mark E. Maddox Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): David H. S. Commins Arbitrator(s): Lester Friedman, Daniel M. Yamshon, Paul D. Gutierrez Hearing Site: San Francisco, CA
| | Expungement |
12-03208 | 03/14/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Timothy N. Will Respondent(s): Donald Treloar Respondent Lawyers(s): Donald Thomas Treloar Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
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11-01801 | 03/08/2013 | Claimant(s): Humberto Salinas Claimant Lawyers(s): Thomas J. Meagher Respondent(s): Morgan Stanley Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Daniel M. Yamshon, Robert Mallin Hirsch, Alden Sharp Adkins Hearing Site: San Francisco, CA
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12-02809 | 01/18/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Respondent Lawyers(s): Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
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10-04017 | 06/09/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Carolyn LaMar Respondent(s): Jess Perez Respondent Lawyers(s): Jess Perez Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
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10-01528 | 03/31/2011 | Claimant(s): Kay Red Horse, Charitable Rem Trust of Kay F. Red Horse, Kay F. Red Horse Revocable Trust Claimant Lawyers(s): Richard B. Fosher Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Clinton J. Simpson Arbitrator(s): Katherine M. Harmeyer, Daniel M. Yamshon, Karen J. Zvonecek Hearing Site: Nashville, TN
| | $225,175 |
07-02333 | 02/11/2010 | Claimant(s): Aaron Leone Claimant Lawyers(s): Jesper I. Rasmussen Respondent(s): WAMU Investments. Respondent Lawyers(s): Douglas A. Wickham Arbitrator(s): Daniel M. Yamshon, William A. Husa, Joseph M. O'Connor Hearing Site: San Francisco, CA
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07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): Eun-Joo Chang Respondent Lawyers(s): Ekwan E. Rhow Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon Hearing Site: San Francisco, CA
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