22-01977 | 09/04/2024 | Claimant(s): Ravdeep Bhasin Claimant Lawyers(s): Ravdeep Singh Bhasin Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): John J. Fitzpatrick, Carol Ann Jensen, D. Peter Gleichenhaus Hearing Site: San Francisco, CA
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23-02492 | 08/23/2024 | Claimant(s): John Deming Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Jeff Palmer Arbitrator(s): John J. Fitzpatrick Hearing Site: Reno, NV
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23-02756 | 03/01/2024 | Claimant(s): Damian Hedley Claimant Lawyers(s): Randi Perry Spallina Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
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23-01476 | 01/19/2024 | Claimant(s): Ivan Cen Claimant Lawyers(s): Christina Vourakis Respondent(s): Cetera Investment Services. Respondent Lawyers(s): Jeremy Carr Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
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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
| ![Checkmark Icon](https://www.potomacanalytics.com/images/icons/checkmark.png) | $0 |
23-00509 | 10/13/2023 | Claimant(s): Jane Scarbrough Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
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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
| ![Checkmark Icon](https://www.potomacanalytics.com/images/icons/checkmark.png) | Dismissed by Rule 12212 and 12511 |
22-01138 | 01/30/2023 | Claimant(s): Jason Lee Claimant Lawyers(s): Samantha Pastor Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Valerie Holder Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
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22-00082 | 09/26/2022 | Claimant(s): Daniel Pinkerton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): John J. Fitzpatrick Hearing Site: Helena, MT
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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
| ![Checkmark Icon](https://www.potomacanalytics.com/images/icons/checkmark.png) | Expungement |