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FINRA Awards for Joan M. Traub

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Displaying 61-70 out of 79 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0286603/07/2012Claimant(s): Jimmy Kuhn
Claimant Lawyers(s): David Marek
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amy Ventry-Kagan
Arbitrator(s): Catherine Ladnier, Joan M. Traub, Charles F. Titterton
Hearing Site: New York, NY
09-0563711/28/2011Claimant(s): JoAnne Matina
Claimant Lawyers(s): George L. Mahr
Respondent(s): Joseph Matina
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Joan M. Traub, Richard H. Hoenig, Leo J. Karwejna
Hearing Site: Newark, NJ
Checkmark Icon$0
10-0516011/18/2011Claimant(s): Hang Bui
Claimant Lawyers(s): Walter Birkel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Joan M. Traub, Daniel P. Lund, Michael L.B. Kaplan
Hearing Site: Newark, NJ
10-0442410/07/2011Claimant(s): Michael Colombino
Claimant Lawyers(s): William C. Rand
Respondent(s): Ashraf Elghandour, Morgan Stanley
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): John A. Scudiero, Joan M. Traub, Roland E. Wyatt
Hearing Site: New York, NY
Checkmark IconExpungement
09-0056508/25/2011Claimant(s): Jozsef Tasko
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): Citigroup Global Markets., Robert Buonanno
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Frank Irizarry, Joan M. Traub, Jacob Scherer
Hearing Site: New York, NY
Checkmark Icon$0
08-0381005/25/2011Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
Checkmark Icon$0
10-0201702/25/2011Claimant(s): Jadwiga Piskozub
Claimant Lawyers(s): Jill Gross
Respondent(s): Citigroup Global Markets., Martin Jankowski
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
Checkmark Icon$213
10-0292712/08/2010Claimant(s): Michael Gora
Claimant Lawyers(s): Michael Gora
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
Checkmark Icon$17,302
09-0536510/26/2010Claimant(s): John Szrko, Pamela Szurko
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
Checkmark IconExpungement
09-0186307/01/2010Claimant(s): Joseph Amundsen
Claimant Lawyers(s): Joseph S. Amundsen
Respondent(s): Aaron Gilbert, Daniel Overmyer, Edward Overmyer, Jamie Cawley, Jesse Bookheim, COPS Worldwide., IDX Derivatives, Morton International Corporation
Respondent Lawyers(s): Aaron Gilbert, Compliance Officer, Daniel Overmyer, Edward Overmyer, George Brunelle, Jesse Louis Bookheim
Arbitrator(s): Ernest Fanwick, Joan M. Traub, Paul R. Walsh
Hearing Site: New York, NY

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