| 17-03482 | 04/20/2018 | Claimant(s): Robert Ferreira
Claimant Lawyers(s): Robert E. Ferreira
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
|  | $925 |
| 16-03643 | 03/06/2018 | Claimant(s): Mark Watson
Claimant Lawyers(s): Chad S. Pehrson
Respondent(s): Brandon Stimpson, Allegis Investment Advisors, Allegis Investment Services
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Kathy L. Eisenmenger
Hearing Site: Salt Lake City, UT
| | $404,480 |
| 17-02893 | 02/02/2018 | Claimant(s): Brian Evans
Claimant Lawyers(s): Brian Evans
Respondent(s): Motif Investing.
Respondent Lawyers(s): Robert Salvador
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $0 |
| 16-01231 | 10/10/2017 | Claimant(s): Jarold Stokes
Claimant Lawyers(s): John R. Garner
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Herbert Siegfried Emmrich
Hearing Site: San Francisco, CA
| | |
| 17-01225 | 09/25/2017 | Claimant(s): Dana Smith
Claimant Lawyers(s): Hilton Wiener
Respondent(s): Lawrence Alfano, Itradedirect.Com Corp
Respondent Lawyers(s): Eric Arlt, Lawrence Joseph Alfano
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $111,505 |
| 16-02935 | 06/08/2017 | Claimant(s): Mark Dryden
Claimant Lawyers(s): James Bouklas
Respondent(s): Michael Clements, Tory Duggins, Avenir Financial Group
Respondent Lawyers(s): Michael Todd Clements, Michael Clements, Tory A. Duggins
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Honolulu, HI
| | $26,727 |
| 15-02267 | 03/21/2017 | Claimant(s): Barbara Morris, Barbara L. Morris Revocable Trust, Charles F. Morris, Jr. Irrevocable Trust
Claimant Lawyers(s): Douglas W. Oldfield
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John P. Wilson, Jonathan H. Krotinger, William J. Petzel
Hearing Site: San Francisco, CA
| | $500,375 |
| 14-02515 | 01/27/2017 | Claimant(s): Lyn Freeman, Lyn A Freeman Revocable Trust U/A11/5/12
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Jonathan Lee, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): David Wakukawa, Edward Zusman
Arbitrator(s): Jonathan H. Krotinger, Urs Laeuchli, Robert James Favole
Hearing Site: San Francisco, CA
| | Expungement |
| 15-01635 | 01/19/2017 | Claimant(s): Alan Barrett, Margaret Barrett
Claimant Lawyers(s): Robert B. Ingram
Respondent(s): LPL Financial LLC, Ernest Renner, Steven Lambert
Respondent Lawyers(s): Amir Tadjedin, Ryan Probstfeld, Thomas Franklin Barnett
Arbitrator(s): Thomas D. Reese, Jonathan H. Krotinger, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $0 |
| 15-01506 | 11/08/2016 | Claimant(s): Barbara Carney, Leroy Carney
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Green, Jonathan H. Krotinger, Philip Aaron Tymon
Hearing Site: Reno, NV
| | $0 |
