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FINRA Awards for David B. Gordon

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0291311/04/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Burt
Respondent Lawyers(s): David B. Gordon
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, Sylvia D. Stiller
Hearing Site: Boca Raton, FL
09-0422208/16/2010Claimant(s): Michelle Brilliant, Robert Hougie
Claimant Lawyers(s): David B. Gordon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Rebecca A. Novak, Judith E. Gross, Eva H. Posman
Hearing Site: New York, NY
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