FINRA Awards for MSSB FA Notes Holdings LLC

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Displaying 31-36 out of 36 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
14-00415	06/09/2015	Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Willard Kelly Respondent Lawyers(s): J Thomas Jones Arbitrator(s): James P. McCrocklin, Jeffrey M. Bain, John Andrew Johnson Hearing Site: Nashville, TN
14-00694	03/02/2015	Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Francisco Savigne Respondent Lawyers(s): Jackie Savigne Arbitrator(s): Gregory D. Hoffmann Hearing Site: Tampa, FL
14-00444	12/12/2014	Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Respondent Lawyers(s): Arbitrator(s): Jay Lawrence Witkin Hearing Site: Phoenix, AZ
14-01478	10/24/2014	Claimant(s): MSSB FA Notes Holdings LLC, Morgan Stanely Smith Barney LLC Claimant Lawyers(s): Jonathan Berg Respondent(s): William Almond Respondent Lawyers(s): William Walter Almond Arbitrator(s): John J. Kenny Hearing Site: Boston, MA
13-02922	09/30/2014	Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Paul McCutchen Respondent Lawyers(s): Denny Sumpter Arbitrator(s): Earle J. Schwarz Hearing Site: Little Rock, AR
11-01396	06/19/2012	Claimant(s): Lloyd Kolokoff Claimant Lawyers(s): Curtis Carlson Respondent(s): Morgan Stanley, MSSB FA Notes Holdings LLC Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Bernard A. Becker, Gilbert Tendler, Ivy Robin Ginsberg Hearing Site: Miami, FL