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FINRA Awards for John J. Henry

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0449211/09/2010Claimant(s): Rita Klafter, Rita E. Klafter Individual Retirement A/, Stephen H. Klafter IRA
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co,
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Jay F. Donnaruma, Elizabeth K. Norsworthy, John J. Henry
Hearing Site: Albany, NY
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09-0563810/05/2010Claimant(s): Peter Baltis
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): George Danes, Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Orestes J. Mihaly, Jennifer L. Bliss, John J. Henry
Hearing Site: Albany, NY
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