FINRA Awards for Morgan Stanley Smith Barney Financing LL

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Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
24-00544	06/07/2024	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Richard Montaldo, Jr. Respondent Lawyers(s): Richard Frank Montaldo, Jr. Arbitrator(s): Elizabeth Gilbert Hearing Site: New York, NY
24-00252	04/24/2024	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL Claimant Lawyers(s): Samuel P. Mauch Respondent(s): James Czerniak Respondent Lawyers(s): James Allen Czerniak Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL
23-01581	09/19/2023	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Todd Barden Respondent Lawyers(s): Todd J Barden Arbitrator(s): Raymond P. Buschmann Hearing Site: Milwaukee, WI
17-02733	04/13/2022	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL Claimant Lawyers(s): Tracy L. Gerber Respondent(s): Izhar Shefer Respondent Lawyers(s): Nera Shefer Arbitrator(s): Susanne J. Hollander, Lawrence Robert Gould, Joseph Michael Librie Hearing Site: Miami, FL
20-00360	08/05/2021	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL Claimant Lawyers(s): Bruce Lewitas Respondent(s): Robert Satterfield Respondent Lawyers(s): Dave Scher Arbitrator(s): David Paul Clark, Geoffrey A. Drucker, Francis Henry Dong Hearing Site: Washington, DC