| 21-02646 | 11/22/2022 | Claimant(s): Carol Monte
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten
Hearing Site: Boise, ID
|  | Expungement |
| 19-02276 | 06/13/2022 | Claimant(s): Shuichi Iizumi, Hatsu Corporation
Claimant Lawyers(s): Shuichi Iizumi
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Katherine Hendricks, Bernard F. Vail, Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $100,607 |
| 20-02181 | 06/07/2022 | Claimant(s): Michael Flick
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Jonathan H. Krotinger, Kathy A. Tatone, Thomas R. Bromberg
Hearing Site: Bismarck, ND
| | $0 |
| 19-02782 | 04/07/2022 | Claimant(s): Dong Fang, Jingxue Zhang, Qixu Wang, Xingxian Li
Claimant Lawyers(s): Robert Rosen
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Helen Marinak Blohm, Katherine Hendricks, Jonathan H. Krotinger
Hearing Site: Seattle, WA
| | $0 |
| 20-03293 | 03/24/2022 | Claimant(s): Jeffrey Trosen, Susan Trosen
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Lynn Hirschfeld Brahin
Hearing Site: Bismarck, ND
| | $70,000 |
| 21-00646 | 08/05/2021 | Claimant(s): Erin Elskes, Javier Sanchez Nieto
Claimant Lawyers(s): Erin E Elskes, Javier Sanchez Nieto
Respondent(s): Amy Blodgett, Ameritas Advisory Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,703 |
| 21-00619 | 06/23/2021 | Claimant(s): Richardvon Pey
Claimant Lawyers(s): Richardvon Pey
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 18-04007 | 11/07/2019 | Claimant(s): Waltraud Greathouse
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Kenneth Barroga, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Peter H. Daly, Jonathan H. Krotinger, Gary S. DeWeese
Hearing Site: San Francisco, CA
| | $160,097 |
| 16-00589 | 05/17/2019 | Claimant(s): Dana Smith
Claimant Lawyers(s): Dana Smith
Respondent(s): Anthony Minerva, Clayton Sontag, Daniel Dvorznak, Eric Arlt, Joseph Shea, Kenneth Fay, Nicholas Tsikitas
Respondent Lawyers(s): Anthony Minerva, Clayton Robert Sontag, Daniel Dvorznak, Eric David Arlt, Joseph Shea, Kenneth Patrick Fay, Nicholas George Tsikitas
Arbitrator(s): Jonathan H. Krotinger, Susan J. Alexander, Robert James Favole
Hearing Site: San Francisco, CA
| | $0 |
| 18-00642 | 10/02/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley Fishman
Arbitrator(s): Reed H. Bement, Jonathan H. Krotinger, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
| | Expungement |
