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FINRA Awards for Joan M. Traub

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Displaying 10 out of 54 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0301808/03/2023Claimant(s): Kevin Fay
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
19-0261112/23/2022Claimant(s): Robert Dunn
Claimant Lawyers(s): Mitchell G. Mandell
Respondent(s): Eric Yamin
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Joan M. Traub, David Francis MacNair, Ronald Harris Kisner
Hearing Site: New York, NY
20-0241210/21/2022Claimant(s): Richard Vincent
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
21-0178102/18/2022Claimant(s): Donald Albach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
21-0099912/21/2021Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): David F. Feldstein
Arbitrator(s): Martin Jay Siegel, Joan M. Traub, Paul Allan Massaro
Hearing Site: Jersey City, NJ
21-0090112/03/2021Claimant(s): David Bindelglass
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
21-0092012/02/2021Claimant(s): Chunyen Wang
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
20-0407111/24/2021Claimant(s): Alexander Cohen
Claimant Lawyers(s): Steven I. Adler
Respondent(s): Prudential Investment Mgmt Services LLC
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Michael H DuBoff, Joan M. Traub, Pavlos Papageorgiou
Hearing Site: New York, NY
20-0272609/20/2021Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
21-0057208/09/2021Claimant(s): Joel Konigsberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY

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