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FINRA Awards for Careena Patel

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0307211/18/2024Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Careena Patel
Respondent Lawyers(s): Dochtor Kennedy
Arbitrator(s): Edward S. Koppman, Eric Ross Cromartie, Angela L. Sanders
Hearing Site: Dallas, TX
19-0283004/06/2020Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
19-0179003/03/2020Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX

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