FINRA Awards for Morgan Stanley Smith Barney FA Notes

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

Displaying 11-20 out of 129 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
17-01987	12/14/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel Mauch Respondent(s): Richard Hartnett Respondent Lawyers(s): Robert C. Harris Arbitrator(s): Jack A. Helms Hearing Site: Columbia, SC
18-01265	08/15/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Jeffrey Johnson Respondent Lawyers(s): Jeffrey Michael Johnson Arbitrator(s): Barry Goldman Hearing Site: Detroit, MI
18-01209	08/03/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Fuad Habba Respondent Lawyers(s): Fuad Saad Habba Arbitrator(s): Richard Gee Hearing Site: New York, NY
18-00734	06/15/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Todd Ratner Respondent(s): Whitney Stewart Respondent Lawyers(s): Whitney W Stewart Arbitrator(s): James R. McGuone Hearing Site: Atlanta, GA
16-03717	06/13/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Michael Pellegrino Respondent Lawyers(s): Darryl J. Bouganim Arbitrator(s): Stephen A. Weiner Hearing Site: New York, NY
17-00427	05/22/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Mark Vanaelst Respondent Lawyers(s): Mark David Vanaelst Arbitrator(s): Patrick R. Sughroue Hearing Site: Detroit, MI
18-00379	05/15/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Todd Ratner Respondent(s): Jason Beem Respondent Lawyers(s): Jason Barton Beem Arbitrator(s): Barry Goldman Hearing Site: Louisville, KY
16-02604	05/09/2018	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Mauricio Beugelmans Respondent(s): Rachael Konz Respondent Lawyers(s): Rachael Leigh Konz Arbitrator(s): William J. Petzel, Bradley C. Mitchell, Paul Mabry Hearing Site: San Francisco, CA
17-02313	12/28/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Jonathan Lake Respondent Lawyers(s): Jonathan Richard Lake Arbitrator(s): Joseph J. Arata Hearing Site: New York, NY
17-00784	10/24/2017	Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Timothy N. Will Respondent(s): Lawrence Palme Respondent Lawyers(s): Lawrence Edward Palme Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA