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FINRA Awards for Joanne A. Schultz

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0340501/29/2014Claimant(s): Frank Racitano
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): Kenneth Dymond
Hearing Site: Buffalo, NY
Checkmark IconExpungement
12-0326803/27/2013Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Carrie L Lathrop
Respondent(s): Timothy Sobolewski
Respondent Lawyers(s): Joanne A. Schultz
Arbitrator(s): Christopher C. Willett
Hearing Site: Buffalo, NY
07-0026309/17/2007Claimant(s): Roslyn Maren
Claimant Lawyers(s): Joanne A. Schultz
Respondent(s): Moors & Cabot., Winslow, Evans & Crocker.
Respondent Lawyers(s): Peter F. Flynn, Robert N. Rapp
Arbitrator(s): Murray S. Marsh, Henry J. Beetz, Richard D. Rosenbloom
Hearing Site: Buffalo, NY
Checkmark Icon$0

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