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FINRA Awards for John J. Fitzpatrick

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Displaying 31-40 out of 51 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0168011/24/2017Claimant(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
Checkmark Icon$90,225
16-0123110/10/2017Claimant(s): Jarold Stokes
Claimant Lawyers(s): John R. Garner
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): John J. Fitzpatrick, Jonathan H. Krotinger, Herbert Siegfried Emmrich
Hearing Site: San Francisco, CA
15-0315910/06/2017Claimant(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
Checkmark IconExpungement
16-0048701/25/2017Claimant(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
Checkmark Icon$14,500
16-0122609/13/2016Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John D. Ellis
Respondent(s): Masami Sakai
Respondent Lawyers(s): Masami Ray Sakai
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
14-0206304/28/2015Claimant(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
Checkmark Icon$0
14-0237303/12/2015Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Juan Rumayor
Respondent Lawyers(s): Juan Diego Rumayor
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
13-0275206/03/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
13-0191803/13/2014Claimant(s): Robert Cheatham
Claimant Lawyers(s): Robert N. Cheatham
Respondent(s): Blaylock Robert Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
12-0355202/11/2014Claimant(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
Checkmark Icon$0

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