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FINRA Awards for Morgan Stanely Smith Barney FA Notes

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0436705/07/2015Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Samuel R. Mauch
Respondent(s): John Offenburger
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Charles D. Underwood, Larry P. Larsen, Robert L. Washburn
Hearing Site: Columbus, OH
13-0010507/17/2013Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX

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