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FINRA Awards for Fred J. Naffziger

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0275603/25/2016Claimant(s): Woodcock Foundation
Claimant Lawyers(s): Christopher W. Haden
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger
Hearing Site: Louisville, KY
Checkmark IconExpungement
06-0405211/16/2007Claimant(s): John Ramsey
Claimant Lawyers(s): James P. Graven
Respondent(s): Edward Jones
Respondent Lawyers(s): Lisa A. Nielsen
Arbitrator(s): Beth Schmidt, Fred J. Naffziger, Stephen C. Cline
Hearing Site: Indianapolis, IN
Checkmark Icon$85,000

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