FINRA Awards for Stephen P. Hoffman

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

Displaying 11-16 out of 16 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-04310	05/21/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Jonathan Berg Respondent(s): Thomas Moore Respondent Lawyers(s): Thomas Chapley Moore Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel Hearing Site: Charlotte, NC
11-04096	10/22/2012	Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Brent Hardy Respondent Lawyers(s): Brent Odell Hardy Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack Hearing Site: Columbia, SC
10-01399	07/12/2012	Claimant(s): Morgan Stanley Claimant Lawyers(s): Andrew Park Respondent(s): Gary Collins Respondent Lawyers(s): Gary Collins Arbitrator(s): Stephen P. Hoffman, Joe Carroll Thomas, Wesley M. Walker Hearing Site: Charlotte, NC
11-03487	03/13/2012	Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Brian R. Mills Respondent(s): Joseph Jackson Respondent Lawyers(s): Steven C. Lawrence Arbitrator(s): Stephen P. Hoffman Hearing Site: Raleigh, NC
10-03040	07/21/2011	Claimant(s): Ronald Brown Claimant Lawyers(s): Christopher M. Whelchel Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): John G. McDonald Arbitrator(s): Stephen P. Hoffman, Michael C. Wittenberg, CPF, CLU, ChFC, Margaret Elizabeth Gee Hearing Site: Charlotte, NC
10-01109	08/16/2010	Claimant(s): Morgan Stanley Claimant Lawyers(s): Mauricio S. Beugelmans Respondent(s): James Sumpter Respondent Lawyers(s): James H. Sumpter Arbitrator(s): Stephen P. Hoffman Hearing Site: New Orleans, LA