FINRA Awards for Ross D. Friend

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-04022	02/14/2013	Claimant(s): Sunbelt Securities. Claimant Lawyers(s): Robert M. Corn Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Glen Silverstein Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend Hearing Site: Houston, TX
10-01519	10/30/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Diane C. Fischer Respondent(s): Erik Littlejohn Respondent Lawyers(s): Cynthia R. Levin Moulton Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend Hearing Site: Houston, TX
09-03119	09/27/2010	Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Erin E. MacAvoy Respondent(s): Andrea Smith Respondent Lawyers(s): Steven C. Earl Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend Hearing Site: Houston, TX
09-01912	11/10/2009	Claimant(s): Investment Professionals. Claimant Lawyers(s): Christopher H. Tovar Respondent(s): Alana Sanderson, Mark Bratton Respondent Lawyers(s): Martin S. Schexnayder Arbitrator(s): Mark C. Watler, Ross D. Friend, Oren L. Connaway Hearing Site: Houston, TX