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FINRA Awards for James Patton

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0176407/27/2018Claimant(s): James Patton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
08-0293202/18/2010Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA

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