FINRA Awards for Morgan Stanley Smith Barney FA Notes Hol

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Displaying 101-104 out of 104 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-04072	06/29/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Jonathan Tuoti Respondent Lawyers(s): Jonathan J. Tuoti Arbitrator(s): I. Douglas Dunipace Hearing Site: Phoenix, AZ
12-00102	06/08/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Frank Guzman Respondent Lawyers(s): Frank Jesus Guzman Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA
11-04314	05/29/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Shannon L. McDougald Respondent(s): James Mckee Respondent Lawyers(s): James Scott Mckee Arbitrator(s): Katherine H. O'Neil Hearing Site: Portland, OR
10-01977	01/09/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Sandeep Hingorani Respondent Lawyers(s): Sandeep Hingorani Arbitrator(s): Michael R. Mitchell, Paul D. Gutierrez, Elmo E. Wedderburn Hearing Site: Reno, NV