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FINRA Awards for Morgan Stanley Smith Barney

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0372410/22/2014Claimant(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
10-0125602/01/2011Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Stefan Rosuck
Respondent Lawyers(s): Stefan E. Rosuck
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
09-0397405/28/2010Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): William Bettis
Respondent Lawyers(s): William Jonathan Bettis
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA

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