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FINRA Awards for Todd Barden

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0158109/19/2023Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Todd Barden
Respondent Lawyers(s): Todd J Barden
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Milwaukee, WI
16-0324108/20/2018Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Jennifer L. Ciralsky
Respondent(s): Michael Kelly, Paul K Ramus, Todd Barden, Great Lakes Retirement Plan Consultants
Respondent Lawyers(s): Jennifer L. Ciralsky, Sean M. Sweeney
Arbitrator(s): Howard N. Rubin, Mark A. Frankel, Dennis M. Selby
Hearing Site: Milwaukee, WI
17-0166204/27/2018Claimant(s): Todd Barden
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Gerald W. Hepp
Hearing Site: Milwaukee, WI

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