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FINRA Awards for John S. Worden

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0133306/25/2018Claimant(s): Tracy Corn, TTDY TOO LLC
Claimant Lawyers(s): David Valicenti
Respondent(s): David Traverso, Morgan Stanley & Co.
Respondent Lawyers(s): John S. Worden
Arbitrator(s): William Ziering, Kathryn J. Toronto, Nancy A. Yonge
Hearing Site: San Francisco, CA
Checkmark Icon$0
17-0102006/22/2018Claimant(s): Lisa Pola
Claimant Lawyers(s): Tracy P Stoneman
Respondent(s): Morgan Stanley, Robert Perry
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Michael Harrison, Mary M. O'Neil, Charles Chia-Lin Hsieh
Hearing Site: Los Angeles, CA
Checkmark Icon$0
16-0223112/21/2017Claimant(s): Shawn Scheuer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley, Steven Anderson
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Peter H. Daly, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: Reno, NV
Checkmark Icon$663,898
17-0035610/10/2017Claimant(s): Jacqueline Peters
Claimant Lawyers(s): Jacqueline Peters
Respondent(s): Morgan Stanley, Helen Timpe
Respondent Lawyers(s): John S. Worden
Arbitrator(s): John Scott Carter
Hearing Site: San Diego, CA
Checkmark Icon$0
16-0137009/05/2017Claimant(s): France Pollack, France Pollack Rollover IRA, The F/T Barry Pollack Trust Profit Shari
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John S. Worden
Arbitrator(s): Richard J. Stall, Susan B. Gans-Smith, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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