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FINRA Awards for Stephen L. Morgan

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
15-0346706/14/2018Claimant(s): James Schiller, Jean Schiller
Claimant Lawyers(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
Checkmark IconExpungement
16-0300505/22/2018Claimant(s): Carrol Schiller
Claimant Lawyers(s): Terrence M. Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Lawyers(s): Jeremy S. Winer, Stephen L. Morgan
Arbitrator(s): Tracy L. Allen
Hearing Site: Milwaukee, WI
Checkmark IconExpungement
15-0114508/10/2016Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Gerald Burns
Respondent(s): Christian Harkness
Respondent Lawyers(s): Stephen L. Morgan
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
14-0135408/26/2015Claimant(s): Randall Sawicki
Claimant Lawyers(s): Stephen L. Morgan
Respondent(s): Roric Griffith
Respondent Lawyers(s): Bryan G. Shumann
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
Checkmark Icon$0

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