FINRA Awards for Lesley V. Tepper

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Displaying 6 out of 6 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-02314	11/22/2017	Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust Claimant Lawyers(s): Tom Leech Respondent(s): Wells Fargo Advisors, Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld Hearing Site: San Francisco, CA		Expungement
15-02910	06/09/2017	Claimant(s): Estate of Mary Anne Trottier Claimant Lawyers(s): Kenneth J. Catanzarite Respondent(s): Morgan Stanley, Steven Crawford Respondent Lawyers(s): Lesley V. Tepper Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison Hearing Site: Los Angeles, CA		$396,623
16-00942	03/16/2017	Claimant(s): Richard Koerner Claimant Lawyers(s): Raymond D. Barber Respondent(s): Daniel Gieseke, Douglas Ingham, Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper Arbitrator(s): Arocles Aguilar Hearing Site: Honolulu, HI		$0
15-00353	02/10/2017	Claimant(s): Sheila Fernandes Claimant Lawyers(s): Shyla Fernandes Respondent(s): Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams Hearing Site: Los Angeles, CA		$0
16-00805	09/12/2016	Claimant(s): Thomas Darga, Thomas M. Darga IRA Claimant Lawyers(s): Jeffrey D. Gardner Respondent(s): Morgan Stanley Respondent Lawyers(s): Lesley V. Tepper Arbitrator(s): Paul A. Cash Hearing Site: Phoenix, AZ		$300
14-03669	06/24/2015	Claimant(s): Richard Koerner Claimant Lawyers(s): Richard J. Koerner Respondent(s): Douglas Ingham, Morgan Stanley Respondent Lawyers(s): Christine A. Kendrick, Lesley V. Tepper Arbitrator(s): Arocles Aguilar Hearing Site: Honolulu, HI		$300