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FINRA Awards for Ray T. Rockwell

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0456403/16/2012Claimant(s): Anna DeVincenzo, DeVincenzo Revocable Living Trust
Claimant Lawyers(s): Ray T. Rockwell
Respondent(s): John Cummings, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Walter P. Hitchcock, John Edward Bersin, M. Scott Donahey
Hearing Site: San Francisco, CA
Checkmark Icon$305,000

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