FINRA Awards for Jonathan D. Berg

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Displaying 11-15 out of 15 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-03724	10/22/2014	Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Richard Vietze Respondent Lawyers(s): Richard Vietze Arbitrator(s): James R. Collins Hearing Site: Boston, MA
13-02904	09/11/2014	Claimant(s): Morgan Stanley Smith Barney FA Notes Hol, Morgan Stanley Smith Barney LLC Claimant Lawyers(s): Harry D. Frisch Respondent(s): Jay Serniak Respondent Lawyers(s): Jonathan D. Berg Arbitrator(s): Keely D. Parr Hearing Site: New York, NY
13-00900	08/22/2014	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Paul Stafford Respondent Lawyers(s): Paul Edward Stafford Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton Hearing Site: Helena, MT
13-01325	09/20/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Douglas Hyman, Jonathan D. Berg Respondent(s): Naseem Salamah Respondent Lawyers(s): Rene Hernandez Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL
07-03246	02/09/2009	Claimant(s): Roger Coyle Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward B. Magarian Arbitrator(s): Gerald H. Powers, John Joseph Cotter, Zenon Charles Tencza Hearing Site: Boston, MA