FINRA Awards for Samuel P. Mauch

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Displaying 31-40 out of 47 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-04144	12/13/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Patrick Londrigan Respondent Lawyers(s): Thomas F. Londrigan Arbitrator(s): Tim V. Young, Brian T. Carter, Donald W. Moriarty Hearing Site: St. Louis, MO
13-00937	11/13/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Charles Music Respondent Lawyers(s): Charles A. Music Arbitrator(s): Kathleen P. Helbig-Hannan Hearing Site: Charleston, WV
11-01131	09/17/2013	Claimant(s): Morgan Stanley Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Carl Watts, James Nastasi, Richard Braitman, Steven Brettler Respondent Lawyers(s): Michael J. Dunn, Samuel P. Mauch Arbitrator(s): Jim Geiger, Jack H. McNairy, John James McGovern Hearing Site: Philadelphia, PA
13-00200	07/15/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Pylar Pinkston Respondent Lawyers(s): Pylar Siria Pinkston Arbitrator(s): G. Maynard Green Hearing Site: Dallas, TX
12-00258	11/21/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): John Stanton Respondent Lawyers(s): John Leslie Stanton Arbitrator(s): Irving A. Chesler Hearing Site: Chicago, IL
12-02391	11/09/2012	Claimant(s): Morgan Stanley, Morgnn Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Ernie Ianace Respondent Lawyers(s): Ernie Peter Ianace Arbitrator(s): William E. Hartsfield Hearing Site: Dallas, TX
10-03961	07/05/2012	Claimant(s): Morgan Stanley Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Daniel Kammerer, Citigroup Global Markets., Citigroup Global Markets Holdings. Respondent Lawyers(s): Erin E. Mac Avoy, Krista L. Tushar Arbitrator(s): Howard R. Gaines, Gregory D. Thomas, Patricia Mary Vondra Hearing Site: Denver, CO
12-00438	06/29/2012	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Robert Hathaway Respondent Lawyers(s): Robert W. Hathaway Arbitrator(s): Joe S. Tarrer Hearing Site: Phoenix, AZ
10-05128	03/12/2012	Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A. Pickett Respondent(s): Jerome Callaghan, Morgan Stanley Respondent Lawyers(s): Nathaniel R. Wolf, Samuel P. Mauch Arbitrator(s): Peter Ordower, Michael Steinberg, Edward Louis Koven Hearing Site: Chicago, IL
11-00435	07/14/2011	Claimant(s): Morgan Stanley Claimant Lawyers(s): Samuel P. Mauch Respondent(s): William Creamer Respondent Lawyers(s): William George Creamer Arbitrator(s): Irving A. Chesler Hearing Site: Minneapolis, MN