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FINRA Awards for Jonathan W. Kaiser

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0201503/17/2020Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): J. Scott Pritchard
Respondent(s): Karin Berkholtz
Respondent Lawyers(s): Karin Berkholtz
Arbitrator(s): Jonathan W. Kaiser, James F. Zotter, Donald H. Mullins
Hearing Site: Seattle, WA
Checkmark Icon$418,600
14-0160302/22/2016Claimant(s): Richard Jensen, Jensen Enterprises.
Claimant Lawyers(s): Han Le, Kenneth J. Catanzarite
Respondent(s): John Misner
Respondent Lawyers(s): Wright A. Noel
Arbitrator(s): William P. Bergsten, Jonathan W. Kaiser, Paul R. Meyer
Hearing Site: Seattle, WA
Checkmark Icon$0
11-0172009/20/2012Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Derek Sanders
Respondent Lawyers(s): Eric D. Lansverk
Arbitrator(s): Jonathan W. Kaiser
Hearing Site: Seattle, WA
08-0213504/09/2010Claimant(s): Marc Mauney & Lynne Rogerson Rev. Living, Qualified Terminable Interest Trust
Claimant Lawyers(s): John A. Bender
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph C. Roberts, Jonathan W. Kaiser, Sheryl Ann Seipp
Hearing Site: Seattle, WA
Checkmark Icon$246,560
08-0119712/03/2008Claimant(s): Norman Harms
Claimant Lawyers(s): Norman E. Harms
Respondent(s): Scottrade
Respondent Lawyers(s): Andrew Small
Arbitrator(s): Jonathan W. Kaiser
Hearing Site: Seattle, WA
Checkmark Icon$3,963

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