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FINRA Awards for Jonathan Holman Hathaway

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Displaying 10 out of 15 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0353506/04/2015Claimant(s): Harold Boritz, Karen Boritz
Claimant Lawyers(s): Jeffrey Steinbrecher
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark Icon$163
14-0364005/06/2015Claimant(s): Neil Harris
Claimant Lawyers(s): Neil E Harris
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark Icon$213
12-0016703/04/2014Claimant(s): Sehat Sutardja, Weili Dai, Sutardja Family Partners
Claimant Lawyers(s): David Elsberg, John Quinn
Respondent(s): Bradley Defoor, Goldman, Sachs and Company, Graham Brandt
Respondent Lawyers(s): David L. Zifkin, David R. Boyd, Jonathan D. Schiller
Arbitrator(s): Thomas J. LoSavio, Jonathan Holman Hathaway, Jeffrey M. Allen
Hearing Site: San Francisco, CA
Checkmark Icon$0
13-0025802/19/2014Claimant(s): Dolores Smallen, Martin Smallen, The Smallen Family Trust U/A dated 5/31/
Claimant Lawyers(s): Christopher Gray
Respondent(s): Shawn Davis, Berthel, Fisher & Company Financial Svcs
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Jane Bradley, Jonathan Holman Hathaway, David I. Levine
Hearing Site: San Francisco, CA
Checkmark IconDismissed by Rule 12206
12-0407511/20/2013Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
Checkmark IconExpungement
12-0308010/21/2013Claimant(s): Anna Guyer
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
11-0382803/25/2013Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark IconExpungement
09-0706302/24/2011Claimant(s): A. Welch, Patrick Curry
Claimant Lawyers(s): A. Walden Welch
Respondent(s): Jason Seale, Jerome Borzello, Raymond, James & Associates., American Wealth Management.
Respondent Lawyers(s): Erin Linehan, Steven Sherman
Arbitrator(s): Jonathan Holman Hathaway, George T. Fleming, Harvey M. Baraban
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award and Expungement
09-0307711/29/2010Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley
Hearing Site: San Francisco, CA
Checkmark Icon$1,500,000
10-0186511/24/2010Claimant(s): Royetta Birkhimer
Claimant Lawyers(s): Royetta Rule Birkhimer
Respondent(s): La Salle St. Securities, L.L.C., Wally Myers
Respondent Lawyers(s): David A. Genelly, Wally Myers
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
Checkmark Icon$0

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