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FINRA Awards for Joan M. Traub

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Displaying 51-54 out of 54 results
Case Number Award Date Case Summary Customer Case? Amount Granted
08-0368212/15/2009Claimant(s): Saxony Securities.
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): Craig Langweiler
Respondent Lawyers(s): Craig G. Langweiler
Arbitrator(s): Linda T. Pellegrino, Joan M. Traub, Robert J. Gorgia
Hearing Site: Newark, NJ
08-0044106/17/2009Claimant(s): Michael Maloney
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Joan M. Traub, Alida D. Camp, Donald Raymond McNally
Hearing Site: New York, NY
99-0015502/23/2009Claimant(s): Dan Druz
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Morgan Stanley DW Inc., Richard Hayes
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joan M. Traub, Simone A. Muscarnera, Nathalie Potter Maio
Hearing Site: Newark, NJ
07-0253008/21/2008Claimant(s): Rohit Relan
Claimant Lawyers(s): Rohit Relan
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Ralph DeSena
Arbitrator(s): Bernard A. Kesselman, Bruce K. Isenberg, Joan M. Traub
Hearing Site: New York, NY

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