FINRA Awards for Joan M. Schroeder

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-01084	10/01/2013	Claimant(s): Chris W. Ditlefsen, Susan J. Ditlefsen Claimant Lawyers(s): Chris W. Ditlefsen Respondent(s): Paul Moore Respondent Lawyers(s): Robert J. Bocko Arbitrator(s): David W. Evans, Joan M. Schroeder, Jane Ann McKenzie Hearing Site: Seattle, WA		Dismissed by Rule 12206
12-00011	06/03/2013	Claimant(s): Stephen Morgan Claimant Lawyers(s): Jahan K. Manasseh Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Nicholas Taunton Arbitrator(s): Michael R.E. Sanders, Joan M. Schroeder, Stephen E. DeForest Hearing Site: Seattle, WA		Expungement
08-04048	01/24/2011	Claimant(s): Greoge Toskey and Ginette Toskey Claimant Lawyers(s): James A. Smith Respondent(s): Charles Schwab & Co.., Wendy Britton Respondent Lawyers(s): Evelyn C. Best Arbitrator(s): Katherine Hendricks, J. David Andrews, Joan M. Schroeder Hearing Site: Seattle, WA		Expungement
03-07132	03/19/2008	Claimant(s): Ischemia Research & Education Foundation Claimant Lawyers(s): Alan C. Friedberg Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Joseph E. Floren Arbitrator(s): Glenda L. Rhodes, Laurie E. Law, Joan M. Schroeder Hearing Site: Seattle, WA		$0