FINRA Awards for Morgan Stanley Smith Barney FA Notes

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 91-100 out of 129 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
12-01106	08/13/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): David Ayres Respondent Lawyers(s): Timothy J. O'Connor Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen Hearing Site: Syracuse, NY
12-04196	08/08/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Melissa A. Bevilacqua Respondent(s): Gina Carosella Respondent Lawyers(s): Christopher J. Carcich Arbitrator(s): Karimu F. Hill-Harvey Hearing Site: Newark, NJ
13-00202	08/07/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Yana Kromo Respondent(s): Denise Thornburgh Respondent Lawyers(s): Denise L. Thornburgh Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
13-00200	07/15/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Pylar Pinkston Respondent Lawyers(s): Pylar Siria Pinkston Arbitrator(s): G. Maynard Green Hearing Site: Dallas, TX
13-00557	06/20/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Audrey Hendricks Respondent(s): Justin Fawcett Respondent Lawyers(s): Justin Fawcett Arbitrator(s): Arthur H. Geffen Hearing Site: Dallas, TX
12-02792	06/10/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Diane C. Fischer Respondent(s): Gregory Paine Respondent Lawyers(s): Jonathan M. Harris Arbitrator(s): James A. Lundberg Hearing Site: Minneapolis, MN
12-03759	05/30/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Melissa A. Bevilacqua Respondent(s): Jack Zotti Respondent Lawyers(s): Jack Zotti Arbitrator(s): Linda J. Baer Hearing Site: Newark, NJ
11-04310	05/21/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Jonathan Berg Respondent(s): Thomas Moore Respondent Lawyers(s): Thomas Chapley Moore Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel Hearing Site: Charlotte, NC
12-03581	05/15/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Laura J. Starr Respondent(s): Richard Rosen Respondent Lawyers(s): Richard Lawrence Rosen Arbitrator(s): Barth Satuloff Hearing Site: Boca Raton, FL
12-02819	05/10/2013	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Laura J. Starr Respondent(s): Anthony Garcia Respondent Lawyers(s): Anthony J. Garcia Arbitrator(s): Seth L. Finkel Hearing Site: Miami, FL