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FINRA Awards for Morgan Stanley Smith Barney FA Note Hold

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0132802/15/2018Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Taylor
Respondent Lawyers(s): James Crosby Taylor
Arbitrator(s): Robert A. Dean, James L. Warren, John Andrew Johnson
Hearing Site: Birmingham, AL
14-0287010/29/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Brian Benner
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
13-0281705/07/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Joseph Sanchis
Respondent Lawyers(s): Joseph J. Sanchis
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA

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