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FINRA Awards for Joan M. Traub

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Displaying 31-40 out of 79 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0319806/07/2019Claimant(s): Carol Connell, Michael Connell, Eugene P. Connell Irrevocable Ins Trust
Claimant Lawyers(s): Kim Lauren Michael
Respondent(s): Ardell Roan, Barry Connell, Denise Kelly, Morgan Stanley & Co., George Batelli, Ginny Piscatay, Jeffrey Crystal, Jennifer Salmon, Richard Less
Respondent Lawyers(s): Adam Kauff, Barry Franklin Connell, Corey Hohnbaum, Ginny Piscatay
Arbitrator(s): Charles L. Prothero, Joan M. Traub, Sam Antar
Hearing Site: New York, NY
Checkmark IconExpungement
17-0137003/13/2019Claimant(s):
Claimant Lawyers(s):
Respondent(s): Timothy Longo, Trident Partners Ltd.
Respondent Lawyers(s): Eric J. Sussman, Giuseppe Franzella
Arbitrator(s): Joan M. Traub, Paul S. Biederman, Michele S. Riley
Hearing Site: New York, NY
Checkmark Icon$0
18-0066402/08/2019Claimant(s): Robert Cutrupi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
17-0127711/05/2018Claimant(s): Nicholas Finn
Claimant Lawyers(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Victoria J. Kehoe
Arbitrator(s): Pamela H. Roderick, Joan M. Traub, Joseph Leo Calabrese
Hearing Site: New York, NY
17-0316609/21/2018Claimant(s): Guang Liu Ling and Anna Ling
Claimant Lawyers(s): Kai Y. Gao
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
Checkmark Icon$0
17-0146412/11/2017Claimant(s): Joseph Bancheri, Michael Lupton
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Joan M. Traub, Annamaria Boccia Smith, Sean F. Monahan
Hearing Site: New York, NY
17-0012811/07/2017Claimant(s): Thomas O'connell
Claimant Lawyers(s): George L. Mahr
Respondent(s): Comprehensive Asset Management
Respondent Lawyers(s): Glenn Aufrichtig
Arbitrator(s): Joan M. Traub, Edward W. Morris, Joseph Antim Galati
Hearing Site: Newark, NJ
16-0334807/03/2017Claimant(s): Eric Hernandez
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark Knoll
Arbitrator(s): Sandra J. Mullings, Joan M. Traub, Joanne Basso Mack
Hearing Site: New York, NY
17-0014606/30/2017Claimant(s): David Rosenberg
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
14-0252406/19/2017Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Lawyers(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
Checkmark Icon$0

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