| 22-02461 | 10/18/2023 | Claimant(s): Clarissa Stecher, Deb Wanner, Donald Wanner, Jean Wanner, Joe Stecher, Rhonda Scheetz
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Hilary D. Wells
Arbitrator(s): John J. Fitzpatrick, Michael D. Briggs, Richard Beens
Hearing Site: Bismarck, ND
|  | $0 |
| 20-01539 | 02/17/2023 | Claimant(s): Shannon Marquardt
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): First Republic Securities Company
Respondent Lawyers(s): Teresa Thong
Arbitrator(s): Lester Friedman, John J. Fitzpatrick, David I. Levine
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 and 12511 |
| 20-04088 | 08/04/2022 | Claimant(s): Jawad Khan, Jawad Khan IRA
Claimant Lawyers(s): Jawad Khan
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Bismarck, ND
| | Expungement |
| 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 |
| 20-04098 | 01/13/2022 | Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
| | $281,500 |
| 19-00416 | 12/16/2021 | Claimant(s): Huxley Richardson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Aleksandr Osaulenko, Carmine Berardi
Respondent Lawyers(s): Aleksandr Osaulenko, Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Craig Butterworth, Steven Akiba Swernofsky
Hearing Site: San Francisco, CA
| | $280,676 |
| 21-02259 | 11/04/2021 | Claimant(s): Fredrick Schiffle
Claimant Lawyers(s): Kevin P. Kruppnick
Respondent(s): Joseph Thurnherr
Respondent Lawyers(s): Joseph Morris Thurnherr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Boise, ID
| | $0 |
| 20-01257 | 03/15/2021 | Claimant(s): Nagarajan Duraisamy
Claimant Lawyers(s): Nagarajan Duraisamy
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Helen Marinak Blohm, John J. Fitzpatrick, Christopher Cother Powers
Hearing Site: San Francisco, CA
| | $0 |
| 17-03293 | 02/08/2021 | Claimant(s): Elvira Feliksa, Michael Feliksa, Elvira E. Feliksa Roth IRA, Michael J. Feliksa IRA, Michael J. Feliksa Roth IRA, Elvira E. Feliksa Trust
Claimant Lawyers(s): Deanna Besbekos-LaPage
Respondent(s): Scott Reed
Respondent Lawyers(s): Michael D. Shore
Arbitrator(s): John J. Fitzpatrick, George King, Robert James Wilkie
Hearing Site: San Francisco, CA
| | Expungement |
| 20-01050 | 11/06/2020 | Claimant(s): Victor Wickwire
Claimant Lawyers(s): Thomas R Wickwire
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Anchorage, AK
| | $22,929 |
