Potomac Analytics' Logo

FINRA Awards for Morgan Stanley Smith Barney FA Notes

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

Filter by:

Sort by:

Displaying 31-40 out of 129 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0344603/30/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Ronny Acluche
Respondent Lawyers(s): Ronny Acluche
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
14-0271701/29/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gavin Natelli
Respondent Lawyers(s): John P. Nulty
Arbitrator(s): Linda J. Baer, Edward W. Morris, Michael Joseph Mignano
Hearing Site: Newark, NJ
12-0282601/25/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Joshua Maddux
Respondent Lawyers(s): Joshua A. Maddux
Arbitrator(s): Jeffrey A. Schuh, Leo G. Stern, John M. James
Hearing Site: Minneapolis, MN
14-0258812/23/2015Claimant(s): Nicholas Messore
Claimant Lawyers(s): Noah B. Peters
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Joyce A. Mitchell, Geoffrey A. Drucker, Frank Stanley Piotrkowski
Hearing Site: Washington, DC
13-0344912/17/2015Claimant(s): Richard Divenuto
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward S. Bradley, David S. Billet, Clifford Matthew Olson
Hearing Site: New York, NY
14-0241712/04/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Paula Deitering
Respondent Lawyers(s): David Yudelson
Arbitrator(s): Mark S. Foster
Hearing Site: Omaha, NE
12-0241412/02/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Daren A. Luma, Mauricio Beugelmans
Respondent(s): Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): George L. Tindall, Ronald F. Rybandt, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
14-0239411/24/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): John Cutshall
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Bonnie K. Wachtel, Marian Smith Glenn, David Paul Clark
Hearing Site: Baltimore, MD
15-0102411/13/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
12-0069111/10/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Bradley Lott
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, James L. Karpen, William C. Alsover
Hearing Site: Detroit, MI

129 Results

Display: