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FINRA Awards for Roxanne Brooker

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0530906/12/2008Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz
Respondent Lawyers(s): Carolyn G. Nussbaum
Arbitrator(s): Ralph L. Halpern, Karin A. Schlosser, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
07-0205006/12/2008Claimant(s): Roxanne Brooker
Claimant Lawyers(s): James G. Brooker
Respondent(s): Anne Saeva, Chase Investment Services Corp., Paula Fritz, Banc One Capital Holdings c/o J.P.M, J.P.Morgan Chase & Co., J.P.Morgan Chase Bank NA
Respondent Lawyers(s): Carolyn G Nussbaum, Carolyn G. Nussbaum
Arbitrator(s):
Hearing Site: Buffalo, NY

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