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FINRA Awards for Morgan Stanley

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Displaying 521-530 out of 784 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0509202/26/2014Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
12-0380702/19/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeff Lesniewicz
Respondent Lawyers(s): Brian H. Sanchez
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
13-0247102/06/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Cynthia Parker
Respondent Lawyers(s): Cynthia Lynne Parker
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Philadelphia, PA
13-0082801/30/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick McFadden
Respondent Lawyers(s): Patrick McFadden
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
12-0332401/07/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
13-0133801/06/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Scott Trueman
Respondent Lawyers(s): Scott Anthony Trueman
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
12-0318012/30/2013Claimant(s): Vincent Romano
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas F. Hurka
Arbitrator(s): Michael S. Matek, Michael I. White, Loren H. Newman
Hearing Site: Chicago, IL
11-0408812/17/2013Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
12-0414412/13/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick Londrigan
Respondent Lawyers(s): Thomas F. Londrigan
Arbitrator(s): Tim V. Young, Brian T. Carter, Donald W. Moriarty
Hearing Site: St. Louis, MO
10-0196912/09/2013Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Robert Giusti
Respondent Lawyers(s): Robert Giusti
Arbitrator(s): Joseph J. Arata, Paul Kanischak, Keely D. Parr
Hearing Site: New York, NY

784 Results

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