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FINRA Awards for Morgan Stanley

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Displaying 541-550 out of 784 results
Case Number Award Date Case Summary Customer Case? Amount Granted
13-0093711/13/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Charles Music
Respondent Lawyers(s): Charles A. Music
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Charleston, WV
11-0257011/11/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
12-0330411/11/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Shari Nelson
Respondent Lawyers(s): Shari Kay Nelson
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
12-0247111/06/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Anthony Carter
Respondent Lawyers(s): Anthony E. Carter
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
13-0090811/05/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
10-0318110/29/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Watson
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Victor B. Taube, Henry L. Dahl, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
12-0110310/22/2013Claimant(s): Robert Fisher
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): William M. Getzoff, David J. Hase, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
10-0542110/21/2013Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Barry Ganz, Mark Seruya, Russell Ganz, Stephen Ackerman
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, Mary Lou McGanney
Hearing Site: New York, NY
12-0309810/03/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Timothy N. Will
Respondent(s): Catherine Sweeney
Respondent Lawyers(s): Catherine Rose Sweeney
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
13-0081709/27/2013Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Katrina Mccabe
Respondent Lawyers(s): Katrina Marie McCabe
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL

784 Results

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