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FINRA Awards for Jerome M Shafer

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0302802/11/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Genyou Hu
Respondent Lawyers(s): Kevin K. Tung
Arbitrator(s): Lise Gabrielle Hunter, Jerome M Shafer, Arthur M. Schoenberger
Hearing Site: New York, NY
11-0398505/21/2013Claimant(s): Robert Ceresa
Claimant Lawyers(s): David S. Richan
Respondent(s): Calvin Grigsby, Jerry Liang, Grigsby & Associates.
Respondent Lawyers(s): Regina L. Darby
Arbitrator(s): Anne Wickham Boyle, Sam Antar, Jerome M Shafer
Hearing Site: New York, NY
03-0080208/03/2010Claimant(s): Raghavan Sathianathan
Claimant Lawyers(s): Raghavan Sathianathan
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tim DiDomenico
Arbitrator(s): Earl S. Schwarz, Martin A. Edelstein, Jerome M Shafer
Hearing Site: New York, NY

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