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FINRA Awards for John J. Fitzpatrick

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Displaying 10 out of 51 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0197709/04/2024Claimant(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
23-0249208/23/2024Claimant(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
23-0275603/01/2024Claimant(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
23-0147601/19/2024Claimant(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
22-0246110/18/2023Claimant(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$0
23-0050910/13/2023Claimant(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
20-0153902/17/2023Claimant(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 IconDismissed by Rule 12212 and 12511
22-0113801/30/2023Claimant(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
22-0008209/26/2022Claimant(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
20-0408808/04/2022Claimant(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 IconExpungement

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