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FINRA Awards for Joan M Swartz

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0227307/17/2014Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO

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