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FINRA Awards for Douglas John Baumann

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0012304/16/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): J. Michael Riordan
Respondent(s): Joseph Delaura
Respondent Lawyers(s): Barry R. Lax
Arbitrator(s): Douglas John Baumann, Norman Kass, Robert Alan Mayer
Hearing Site: Newark, NJ
07-0053406/23/2008Claimant(s): Thomas Mccarthy
Claimant Lawyers(s): Cindy D Salvo
Respondent(s): Financial Network Investment Corporation, Karoon Capital Markets.
Respondent Lawyers(s): Paul A. Lieberman, Thomas Vays
Arbitrator(s): Jeffrey Steinberg, Linda T. Pellegrino, Douglas John Baumann
Hearing Site: Newark, NJ
06-0460810/17/2007Claimant(s): Ronald Kramer
Claimant Lawyers(s): George L. Mahr
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Walter A. Kapuscinski, Edith M. Novack, Douglas John Baumann
Hearing Site: Newark, NJ

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