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FINRA Awards for Rita Rothstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
06-0450803/10/2008Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan
Claimant Lawyers(s): W. Ralph Canada
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award and Expungement

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