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FINRA Awards for James M. Baumann

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Displaying 7 out of 7 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0152606/25/2021Claimant(s): William Nelms
Claimant Lawyers(s): Lars Soreide
Respondent(s): Brian DiBrino, American Portfolios Financial Srvs.
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): James M. Baumann, Robert R. Salman, Edith M. Novack
Hearing Site: Jersey City, NJ
Checkmark IconExpungement
10-0570411/03/2015Claimant(s): Rajyalakshmi Ramachandran, Viswanathan Ramachandran
Claimant Lawyers(s): Viswanathan Ramachandran
Respondent(s): Judy Wee, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kiki L. Taylor
Arbitrator(s): James M. Baumann, Christine Costigan, Leona Beane
Hearing Site: New York, NY
Checkmark Icon$0
11-0070908/23/2012Claimant(s): David Berman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Christian Coluccio, Gregg Zeoli, Richard Cardinale, Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): James M. Baumann, Caryl D. Feldmann, Philip Florio
Hearing Site: New York, NY
Checkmark Icon$0
11-0057105/04/2012Claimant(s): Dennis Herman
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Cheryl Black, Harold Eylward, J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Edward Baer, James M. Baumann, Ann C. Northern
Hearing Site: New York, NY
Checkmark Icon$0
09-0322206/28/2011Claimant(s): Doris Cacace
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J Zaretsky
Arbitrator(s): James M. Baumann, Charles L. Prothero, Nathan J. Minucci
Hearing Site: Newark, NJ
Checkmark IconExpungement
08-0445110/14/2009Claimant(s): Phyllis Andriani, PhylissAndriani TTEE Non-Marital Trusts, TTEE of the Martial Tr
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): Wachovia Securities, Morgan Stanley & Co.
Respondent Lawyers(s): Alan S. Rafterman, Susan Poder MacFarlane
Arbitrator(s): James M. Baumann, Keely D. Parr, George E. Berkeley
Hearing Site: New York, NY
Checkmark Icon$0
08-0036206/15/2009Claimant(s): Steven Greenberg, Sylvia Greenberg, William Greenberg
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Capital Growth Financial
Respondent Lawyers(s): Compliance Officer
Arbitrator(s): James M. Baumann, Richard S. Peskin, Martin L. Feinberg
Hearing Site: New York, NY
Checkmark Icon$825,680

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