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FINRA Awards for Joan M. Swartz

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0151905/20/2019Claimant(s): Robert Brangle
Claimant Lawyers(s): Joan M. Swartz
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Anna M. Berman
Arbitrator(s): Leah Murray Albert, Tracy L. Allen, Julius Z. Frager
Hearing Site: St. Louis, MO
16-0321305/31/2017Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M. Swartz
Respondent(s): Deborah Rathgeber, Douglas Glaser
Respondent Lawyers(s): Deborah L. Rathgeber, Douglas L. Glaser
Arbitrator(s): Julius Z. Frager, Sheldon Weinhaus, Joseph K Marshall
Hearing Site: St. Louis, MO
Expungement

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