FINRA Awards for Morgan Stanley Smith Barney FA Notes

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 10 out of 129 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-00359	05/10/2022	Claimant(s): Steven Wyatt Claimant Lawyers(s): Louis H. Watson Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney Financing Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Langfred W. White, Ian S. Greig, Robert E. Graves Hearing Site: Jackson, MS
19-02732	12/27/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S Brodherson Respondent(s): Michael Carter Respondent Lawyers(s): Michael Barry Carter Arbitrator(s): Geoffrey A. Drucker Hearing Site: Washington, DC
19-01579	10/03/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Elio F. Martinez Respondent(s): Peter Ingraham Respondent Lawyers(s): Peter J. Ingraham Arbitrator(s): Bernard A. Becker Hearing Site: Boca Raton, FL
19-01520	09/17/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Steven Silverthorne Respondent Lawyers(s): Steven M. Silverthorne Arbitrator(s): Edward W. Morris Hearing Site: Newark, NJ
19-00726	08/08/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Timothy Skinner Respondent Lawyers(s): Timothy Francis Skinner Arbitrator(s): Sam Antar Hearing Site: Newark, NJ
19-00598	06/03/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S Brodherson Respondent(s): John Reynolds Respondent Lawyers(s): John Stephen Reynolds Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
18-02489	05/01/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Denis O'Leary Respondent Lawyers(s): Denis Patrick O'Leary Arbitrator(s): Anna Lascar Hearing Site: New York, NY
17-02561	04/05/2019	Claimant(s): Kevin Barley Claimant Lawyers(s): Juan Carlos Real Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): David M. Snyder, Gregory L. Hess, Richard Merritt Langway Hearing Site: Orlando, FL
18-03522	03/07/2019	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Keith Hollender Respondent Lawyers(s): Keith David Hollender Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ
18-02716	12/18/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Elio F. Martinez Respondent(s): Peter Walsworth Respondent Lawyers(s): Peter James Walsworth Arbitrator(s): Muriel Desloovere Hearing Site: Tampa, FL