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FINRA Awards for Esq.

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Displaying 10 out of 19 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0024212/19/2022Claimant(s): Gregory McLean
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley, Esq.
Arbitrator(s): Ira A. Auerbach
Hearing Site: Syracuse, NY
20-0171201/14/2021Claimant(s): Brian Kasal
Claimant Lawyers(s): Joshua Kons
Respondent(s): Morgan Stanley, William Blair & Company L.L.C.
Respondent Lawyers(s): Andrew Gelfand, Esq., Christopher D. Seps
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
18-0399107/30/2019Claimant(s): Michael Abramo
Claimant Lawyers(s): N. Nancy Ghabai, Esq.
Respondent(s): LPL Financial LLC, UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Anthony J. Borrelli, David I. Hantman, Esq., Jon D. Kaplon
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
11-0248405/14/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
13-0121705/14/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Nicholas Ragone
Respondent Lawyers(s): Kimberly Kalmanson
Arbitrator(s): Stanley M. Ulanoff, William E. Nuckel, Stewart E. Winner
Hearing Site: New York, NY
13-0010507/17/2013Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
12-0377504/01/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Gehrin Ortiz
Respondent Lawyers(s): Gehrin Michael Ortiz
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
12-0332703/26/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Kris Larson
Respondent Lawyers(s): Kris Kendrick Larson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
12-0070503/14/2013Claimant(s): Morgan Stanley, Morgan Stanley & Co.
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Michael Highfill
Respondent Lawyers(s): Lance Arney
Arbitrator(s): Mark A. Myers, James Kee Irvin, Richard J. Clement
Hearing Site: Jackson, MS
11-0378902/15/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Matthew Francis
Respondent Lawyers(s): Matthew Hamel Francis
Arbitrator(s): Guenter S. Cohn, Duane Ted Wolfe, Joseph Patrick Kett
Hearing Site: San Diego, CA

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