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FINRA Awards for Morgan Stanley Smith Barney FA Notes Hol

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Displaying 51-60 out of 104 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0109904/08/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Douglas Gill
Respondent Lawyers(s): Douglas Joseph Gill
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
14-0222203/27/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Dunbar
Respondent Lawyers(s): Robert J Dunbar
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
14-0094003/11/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Christopher Barber
Respondent Lawyers(s): Christopher R. Barber
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
14-0298702/18/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Robert S. Getman
Hearing Site: New York, NY
14-0140601/15/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Kevin Monaco
Respondent Lawyers(s): Kevin Michael Monaco
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
13-0331412/23/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michelle Powlison
Respondent Lawyers(s): Michelle Renae Powlison
Arbitrator(s): O. Meredith Wilson, John F. Harris, Keith C. Folkman
Hearing Site: Portland, OR
14-0019011/26/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Kim
Respondent Lawyers(s): Peter H. Kim
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
13-0172011/24/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Gillelen
Respondent Lawyers(s): Mark Calvin Gillelen
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
13-0087710/30/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
14-0119609/25/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Vladimir Eydelman
Respondent Lawyers(s): Vladimir Eydelman
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY

104 Results

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