FINRA Awards for John R. Braatz

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
04-06763	03/01/2010	Claimant(s): Carol Bach, Daniel Bach, Daniel Bach c/f Marisa Serefina, Daniel Bach IRA, Daniel Bach SEP IRA, Jonathan Bach, Eric Bach & Daniel Bach, Olga Bach & Daniel Bach, Steven Bach, Laura Bach & Daniel Bach Claimant Lawyers(s): Kevin J. Begley Respondent(s): Anthony Calascione, Darren DeLuca, Dominick Bianco, Gregory Hasho, Joel Podelsky, Kenneth Rodgers, Lawrence Balzano, Lizy Chandy, Thomas Francis, Thomas Tiernan, Continental Broker-Dealer Corp., Wexford Clearing Services Respondent Lawyers(s): Anthony Joseph Calascione, Craig Riha, Darren DeLuca, Dominick Bianco, Gregory Mumtaz Hasho, Joel S. Podelsky, John R. Braatz, Kenneth Rodgers, Lawrence Balzano, Michael Clements, Thomas Paul Francis, Timothy Feil Arbitrator(s): Joseph R. Lally, Robert S. Getman, David Denison Hearing Site: Newark, NJ		$0
07-02345	01/22/2009	Claimant(s): Continental Broker-Dealer Corp. by Ric Claimant Lawyers(s): Martin H. Kaplan Respondent(s): Edward Schlitzer, George Calleia, Patricia Jamison, Wexford Clearing Services Respondent Lawyers(s): George Calleia, John R. Braatz Arbitrator(s): Andrew D. Hudders, Robert Pincus, Richard E. Lerner Hearing Site: New York, NY