FINRA Awards for et al.

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-00780	01/31/2017	Claimant(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
16-01397	09/06/2016	Claimant(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