Potomac Analytics' Logo

FINRA Awards for Jon Richard Catten

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 3 out of 3 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0264611/22/2022Claimant(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
Checkmark IconExpungement
20-0132311/09/2021Claimant(s): Carl Amon
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Jeffrey M. Allen, Jon Richard Catten, Leon Werner Crockett
Hearing Site: Salt Lake City, UT
Checkmark Icon$0
16-0111901/26/2018Claimant(s): Deborah Barnes
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Donald N. Tolin, Jon Richard Catten, Constance B. White
Hearing Site: Salt Lake City, UT
Checkmark IconExpungement

3 Results

Display: