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FINRA Awards for Morgan Stanley Smith Barney FA Notes

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Displaying 101-110 out of 129 results
Case Number Award Date Case Summary Customer Case? Amount Granted
12-0358505/07/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): David Anderson
Respondent Lawyers(s): David Steven Anderson
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
12-0201405/06/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan Brodherson
Respondent(s): Dale Ireland
Respondent Lawyers(s): William L. Haugh
Arbitrator(s): Carole Rollinson, Kathryn Ellen McDonnell, Jane A. Smith
Hearing Site: Washington, DC
12-0239505/03/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Kenneth Burgess
Respondent Lawyers(s): Kenneth Charles Burgess
Arbitrator(s): Michael H. McConihe
Hearing Site: Washington, DC
10-0335904/22/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Michael Cook
Respondent Lawyers(s): R. Rogge Dunn
Arbitrator(s): Michael J. Ahlstrom, Joyce Sikora, Kenrick Albert Pratt
Hearing Site: Orlando, FL
10-0451403/22/2013Claimant(s): James Eastman
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy Gerber
Arbitrator(s): Langfred W. White, Howard L. Hill, Thomas J. Patka
Hearing Site: Tampa, FL
11-0340702/21/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): John K. Wells
Respondent(s): Carlos Molina, Jorge Carreras
Respondent Lawyers(s): Jacob W. Buchdahl
Arbitrator(s): Annette B. Meyers, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
11-0378902/15/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Matthew Francis
Respondent Lawyers(s): Matthew Hamel Francis
Arbitrator(s): Guenter S. Cohn, Duane Ted Wolfe, Joseph Patrick Kett
Hearing Site: San Diego, CA
12-0343202/07/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Glenn Berger
Respondent(s): David Price
Respondent Lawyers(s): David Craig Price
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
12-0005602/05/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Jeffrey Wylde
Respondent Lawyers(s): Jeffrey Russell Wylde
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
12-0271601/22/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL

129 Results

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