FINRA Awards for Morgan Stanley Smith Barney FA Notes Hol

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

Displaying 11-20 out of 104 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-01561	01/23/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): David J. Sensenig Respondent(s): Beverly Carroll Respondent Lawyers(s): Robert A. W. Boraks Arbitrator(s): James R. Stirn Hearing Site: Washington, DC
16-01859	01/12/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Douglas Hyman Respondent(s): Brian Sak Respondent Lawyers(s): Brian Carey Sak Arbitrator(s): James A. Murphy Hearing Site: Chicago, IL
15-03342	01/06/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Douglas Hyman Respondent(s): Steven Kajala Respondent Lawyers(s): Jesse H. Kibort Arbitrator(s): Douglas Randall Blohm Hearing Site: Minneapolis, MN
13-02523	12/01/2016	Claimant(s): Edward Signaigo Claimant Lawyers(s): Paul W. Thomas Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Respondent Lawyers(s): Gina Shlaferman, Tracy L. Gerber Arbitrator(s): James D. Knotter, M. LaRae Bakerink, Randy R. Maher Hearing Site: San Diego, CA
15-01949	11/01/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Jeffrey Wiseman Respondent Lawyers(s): David Lefkowitz Arbitrator(s): Ronald L. Cameron Hearing Site: Los Angeles, CA
16-01122	10/07/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Gregory B. Simon Respondent(s): Douglas Galloway Respondent Lawyers(s): Douglas John Galloway Arbitrator(s): Robert A. Lombardi Hearing Site: Los Angeles, CA
14-02982	09/27/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber Respondent(s): Audra Lalley Respondent Lawyers(s): Michael A. Thurman Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald Hearing Site: Los Angeles, CA
16-00922	09/12/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Gregory B. Simon Respondent(s): Russell Goldstein Respondent Lawyers(s): Russell Lee Goldstein Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA
16-01131	08/24/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Christopher Seshadri Respondent Lawyers(s): Christopher Adam Seshadri Arbitrator(s): Howard D. Jacob Hearing Site: New York, NY
15-02864	08/05/2016	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): Karimah Karah Respondent Lawyers(s): Robert Diskint Arbitrator(s): Peter H. Daly Hearing Site: San Francisco, CA