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FINRA Awards for Robert E. Robertson

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0289212/06/2016Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
10-0150206/21/2011Claimant(s): Thomas Laird
Claimant Lawyers(s): David E. Schlesinger
Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson
Hearing Site: Minneapolis, MN

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