FINRA Awards for Joshua F. Bautz

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
20-03199	05/14/2021	Claimant(s): Anthony Scaglione Claimant Lawyers(s): Joshua F. Bautz Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL
18-01243	06/04/2019	Claimant(s): Colleen Schuhmann Claimant Lawyers(s): Joshua F. Bautz Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Robert G. Geeseman Hearing Site: Boca Raton, FL
18-01452	04/19/2019	Claimant(s): Alfred Bonardi Claimant Lawyers(s): Joshua F. Bautz Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co.., Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL
18-00450	10/18/2018	Claimant(s): Sean Mollard Claimant Lawyers(s): Joshua F. Bautz Respondent(s): Dawson James Securities. Respondent Lawyers(s): Gregg Breitbart Arbitrator(s): Kimberly A. Gilmour Hearing Site: Boca Raton, FL