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FINRA Awards for Joshua Bautz

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0140104/21/2022Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
20-0302306/01/2021Claimant(s): Peter Goffin
Claimant Lawyers(s): Joshua Bautz
Respondent(s): Wells Fargo Advisors Financial Network, NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart, Patricia Cowart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL

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