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FINRA Awards for Joan M. Traub

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Displaying 21-25 out of 25 results
Case Number Award Date Case Summary Customer Case? Amount Granted
09-0284304/27/2010Claimant(s): Ettore Stratta, Patricia Stratta
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Andrew Wolff, Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
Checkmark Icon$67,114
08-0310112/29/2009Claimant(s): Jean Powell
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Norair Seferian, Peter Marzo, GunnAllen Financial.
Respondent Lawyers(s): Jay Marc Israel, Norair Allain Seferian, Timothy Feil
Arbitrator(s): Joan M. Traub, Christine Costigan, Michele S. Riley
Hearing Site: New York, NY
Checkmark IconExpungement
08-0277509/24/2009Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
Checkmark Icon$40,000
08-0033805/12/2009Claimant(s): Saquana Fowler
Claimant Lawyers(s): Paul Radvany
Respondent(s): Damascus Lee, Ian Bynoe
Respondent Lawyers(s): Damascus Isaiha Lee, 08R0934, Ian Bynoe, 07R4821
Arbitrator(s): Leah G. Rabinowitz, Joan M. Traub, John Murray Carroll
Hearing Site: New York, NY
Checkmark Icon$74,438
08-0167505/11/2009Claimant(s): Walter and Hanni L. Lion
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David A. King
Arbitrator(s): Joan M. Traub, Farrell C. Glasser, Richard E. Castiglioni
Hearing Site: New York, NY
Checkmark Icon$0

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