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FINRA Awards for Joann Peters

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0480808/27/2008Claimant(s): Chestnut Energy Partners., a/k/a
Claimant Lawyers(s): John T. Gerhart
Respondent(s): Thomas Tapia
Respondent Lawyers(s): Thomas Tapia
Arbitrator(s): Joann Peters, Peter J. Conlon, Edward J. Lynch
Hearing Site: Dallas, TX
06-0088011/26/2007Claimant(s): Jeffrey Carroll, UBS Financial Services Inc., Rebecca Gadus
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Sammy Gordon
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): Joann Peters, Bill M. Lamoreaux, Richard A Miller
Hearing Site: Dallas, TX

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