| 23-01722 | 03/20/2024 | Claimant(s): William Perera
Claimant Lawyers(s): William Rohan Harin Perera
Respondent(s): Vista Point Advisors
Respondent Lawyers(s): Julie A. Totten
Arbitrator(s): Mitchell S. Ostwald, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
| | |
| 23-01488 | 03/01/2024 | Claimant(s): Thomas Smith
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Edward Jones
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 22-01108 | 05/30/2023 | Claimant(s): Mihir Jobalia
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): KPMG Corporate Finance LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
| 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 |
| 21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera
Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar
Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger
Hearing Site: Albuquerque, NM
| | |
| 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 |
