FINRA Awards for Morgan Stanley Smith Barney Financing

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Displaying 11-16 out of 16 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-02658	08/26/2022	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): John Baer Respondent Lawyers(s): John Charles Baer Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
20-03988	07/05/2022	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Elio F. Martinez Respondent(s): David Sauer Respondent Lawyers(s): Victor Bayata Arbitrator(s): Steven Gerard Goerke, Gloria F. Katz, Dorrit E Nelson Hearing Site: Boca Raton, FL
17-00359	05/10/2022	Claimant(s): Steven Wyatt Claimant Lawyers(s): Louis H. Watson Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney Financing Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Langfred W. White, Ian S. Greig, Robert E. Graves Hearing Site: Jackson, MS
21-03049	04/11/2022	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Gretchen Mary Wallace Respondent Lawyers(s): Gretchen Mary Thies Wallace Arbitrator(s): Jim Geiger Hearing Site: Providence, RI
19-01585	04/08/2022	Claimant(s): Nicolas Lumermann Claimant Lawyers(s): Lance J. Gotko Respondent(s): Morgan Stanley, Victor Tsutsumi, Morgan Stanley Smith Barney Financing Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Alan Wills Borst, Harvey E. Benjamin, John Warner Lowe Hearing Site: New York, NY
21-01351	09/01/2021	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Peter Korcusko Respondent Lawyers(s): Eric Feld Arbitrator(s): Mimi B. Osiason Hearing Site: Tampa, FL