| 19-02754 | 06/18/2020 | Claimant(s): Richard Bollard
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Michael Blumer, First Standard Financial Company LLC
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Anchorage, AK
|  | $120 |
| 18-00121 | 04/02/2019 | Claimant(s): Mirchandani-Xu FLT
Claimant Lawyers(s): Michael Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): John J. Fitzpatrick, Jon H. Sylvester, Adrian Alec Colley
Hearing Site: San Francisco, CA
| | $0 |
| 17-01050 | 02/08/2018 | Claimant(s): Gregory Sain
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Joanne Harris, Robert Harris, The Harris Revocable Trust
Respondent Lawyers(s): Robert N. Harris
Arbitrator(s): Gilbert R. Serota, John J. Fitzpatrick, Benjamin Slomoff
Hearing Site: San Francisco, CA
| | Expungement |
| 16-01680 | 11/24/2017 | Claimant(s): April Barnes, James Barnes
Claimant Lawyers(s): Jacob M. Merrill
Respondent(s): Stifel, Nicolaus & Co.., Marc Kozuki
Respondent Lawyers(s): Ben Suter
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Honolulu, HI
| | $90,225 |
| 15-03159 | 10/06/2017 | Claimant(s): Janet Demarcke
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Phillip Multop
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk
Hearing Site: Seattle, WA
| | Expungement |
| 16-00487 | 01/25/2017 | Claimant(s): James Gordon
Claimant Lawyers(s): James Gordon
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Peter M Brabbee, John J. Fitzpatrick, George King
Hearing Site: San Francisco, CA
| | $14,500 |
| 14-02063 | 04/28/2015 | Claimant(s): Roberta Wilkins/Sells
Claimant Lawyers(s): Roberta Wilkins/Sells
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony Valenzuela
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $0 |
| 12-03552 | 02/11/2014 | Claimant(s): Laura Lambert, Scott Lambert
Claimant Lawyers(s): Joseph Wood
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): John P. Wilson, John J. Fitzpatrick, Walter F. Dillaway
Hearing Site: San Francisco, CA
| | $0 |
| 09-05230 | 09/15/2010 | Claimant(s): The Beaty Revocable Survivor's Trust
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Jonathan Holman Hathaway, John J. Fitzpatrick, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | $0 |
| 08-03537 | 03/25/2009 | Claimant(s): Elliot Burstein
Claimant Lawyers(s): Elliot L. Burstein
Respondent(s): UBS Financial Services Inc., Sharon Ford
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | $1,585 |
