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FINRA Awards for Morgan Stanley Smith Barney FA

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0078001/31/2017Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA, et al.
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Kimberly Aylesworth
Respondent Lawyers(s): Howard P. Slomka
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
16-0139709/06/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA, et al.
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Dan Moss
Respondent Lawyers(s): Dan Moss
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
12-0163711/19/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Sean Pepe
Respondent Lawyers(s): Sean Phillip Pepe
Arbitrator(s): Stuart H. Dunn
Hearing Site: Norfolk, VA

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