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FINRA Awards for Morgan Stanley Smith Barney FA Notes Hol

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Displaying 31-40 out of 104 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0252902/23/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Torrey
Respondent Lawyers(s): Gary Torrey
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
15-0235902/08/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M Murray
Respondent(s): Michael Marceda
Respondent Lawyers(s): Michael Rocco Marceda
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
15-0023301/22/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Gannon
Respondent Lawyers(s): John F. Gannon
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
13-0169701/15/2016Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
13-0305901/15/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Hearn
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s):
Hearing Site: Syracuse, NY
14-0222101/13/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jose Rojas
Respondent(s): Daniel Curkan
Respondent Lawyers(s): Daniel H. Curkan
Arbitrator(s): William S. Glickfield, Donald K. Runkle, Whilden Sessions Parker
Hearing Site: Tampa, FL
15-0085112/31/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Jeffrey Rehling
Respondent Lawyers(s): Jeffrey Allen Rehling
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
15-0197212/31/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): William Siegel
Respondent Lawyers(s): William V. Siegel
Arbitrator(s): S. Charles Tabak
Hearing Site: New York, NY
13-0311911/19/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins
Respondent(s): Carrie Riley
Respondent Lawyers(s): Stephen S. Smith
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
14-0002810/09/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steve Sung
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, A. Joel Klein, Michael M. Perrigue
Hearing Site: Los Angeles, CA

104 Results

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