FINRA Awards for Robert C. Harris

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01634	01/08/2019	Claimant(s): Daniel Weil Claimant Lawyers(s): Irwin Weltz Respondent(s): Stacey Lavender-Mayers, Trevor Saliba, NMS Capital Advisors., NMS Capital Securities Respondent Lawyers(s): Robert C. Harris Arbitrator(s): Colette Manoil, Paul Gregory Smith, Arthur Thomas Carr Hearing Site: Boston, MA
17-01987	12/14/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel Mauch Respondent(s): Richard Hartnett Respondent Lawyers(s): Robert C. Harris Arbitrator(s): Jack A. Helms Hearing Site: Columbia, SC
13-02237	05/14/2014	Claimant(s): Michael Kelleher Claimant Lawyers(s): Robert C. Harris Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Dan A. Rosenbaum Arbitrator(s): Jerrold Levine Hearing Site: Miami, FL
12-00421	12/18/2012	Claimant(s): Baerbel O'Haire, Joseph Fessler Claimant Lawyers(s): Robert C. Harris Respondent(s): James Gray, Kaye Gray Respondent Lawyers(s): James Brian Gray, Kaye M. Gray Arbitrator(s): Frances D. Sheehy, Kathy N. Novick, Sherry Puro Hearing Site: Boca Raton, FL		Expungement