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FINRA Awards for James Phillip Schwantner

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0117610/15/2012Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
12-0118709/07/2012Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
11-0086111/01/2011Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY

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