FINRA Awards for Karl Pettijohn

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-01167	10/15/2021	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Michael Bessette Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Samantha Parrish Arbitrator(s): Andrew M. Mintzer Hearing Site: Los Angeles, CA
16-02858	02/21/2017	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Scott Rahn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
15-03363	10/07/2016	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Scott E. Rahn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
15-01376	12/02/2015	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Scott Rahn Respondent(s): Robert Berra Respondent Lawyers(s): Robert Berra Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA		Expungement
14-02813	03/12/2015	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Scott Rahn Respondent(s): F. Carter Newton Respondent Lawyers(s): F. Carter Newton Arbitrator(s): Robert Dean McKinley Hearing Site: Los Angeles, CA		Expungement
13-03406	05/20/2014	Claimant(s): Karl Pettijohn Claimant Lawyers(s): Scott E. Rahn Respondent(s): Health Solutions Respondent Lawyers(s): Glen Rocklin Arbitrator(s): Joseph C. Watson Hearing Site: Los Angeles, CA		Expungement