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FINRA Awards for Morgan Stanley

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Displaying 551-560 out of 577 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0268104/29/2011Claimant(s): Paul Ratzlaff, Paul H. Ratzlaff IRA
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Kathryn M. Welsh, Lawrence Gray Sanders, Irwin Glazer
Hearing Site: Tampa, FL
Checkmark Icon$0
10-0059404/27/2011Claimant(s): James C. Edington IRA, James C. Edington Trust
Claimant Lawyers(s): Brian G. Mooney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): Paul Sidney Elliott, JD, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
Checkmark IconExpungement
10-0337204/21/2011Claimant(s): Jerry Stone, Melisa Stone
Claimant Lawyers(s): Melisa Ann Stone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Elton W. Chartrand
Hearing Site: Little Rock, AR
Checkmark Icon$0
09-0698004/14/2011Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
Checkmark Icon$0
09-0691804/12/2011Claimant(s): Leiter Family Trust
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Guy K. Stewart, Myron E. Levenson, Dennis J. Levin
Hearing Site: Boca Raton, FL
Checkmark Icon$2,388,230
09-0676004/07/2011Claimant(s): Hathaway Family Holdings, LLP, David S.
Claimant Lawyers(s): John Flanders Kennedy
Respondent(s): Dearing Stone, Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff, R Hal Meeks
Arbitrator(s): Robert N. Leitch, Susan S. Bentley, Gary J. Leshaw
Hearing Site: Atlanta, GA
Checkmark IconExpungement
10-0036603/31/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Elizabeth E. Moum
Respondent(s): Primo Musumeci
Respondent Lawyers(s): Dogan M. Bengisu
Arbitrator(s): Steven A. Hurst, James W. Geiger, Ellen J. Abrams
Hearing Site: Boca Raton, FL
Checkmark Icon$0
09-0706203/25/2011Claimant(s): Elise Moore, F. David Moore
Claimant Lawyers(s): Elise L. Moore
Respondent(s): Morgan Stanley, Marc Lock
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
Checkmark Icon$15,000
09-0705103/11/2011Claimant(s): Ross Carter and Jane Carter
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Diana A. Weiner, Jason D. White, Oliver J. Janney
Hearing Site: Tampa, FL
Checkmark IconExpungement
09-0351002/24/2011Claimant(s): John Williams, Williams Family Bypass Trust dtd 11/5/87, Williams Family Trust of 1987 dd 11/5/87
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Volland Achkire
Arbitrator(s): Michael R. Mitchell, Alan M. Rosen, Madina C. Boland
Hearing Site: Los Angeles, CA
Checkmark IconStipulated Award and Expungement

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