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FINRA Awards for Alan S. Brodherson

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Displaying 81-90 out of 94 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0474608/20/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Conway Donaldson
Respondent Lawyers(s): Conway Kirk Donaldson
Arbitrator(s): Joseph B. Russell, Joseph A. Forgione, Alun Hywel Jones
Hearing Site: New York, NY
10-0102103/06/2012Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): James Kingsbury
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Christine Costigan
Hearing Site: New York, NY
10-0284811/23/2011Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): H. Huss
Respondent Lawyers(s): Lawrence C. Glynn
Arbitrator(s): Walter M. Schackman, Walter W. Jensen, Margaret Leggett Tarver
Hearing Site: Newark, NJ
10-0527406/24/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Christopher Keosseian
Respondent Lawyers(s): Christopher Keosseian
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
10-0102005/10/2011Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
09-0413012/29/2010Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Clifford Feldstein, Kenneth Sitomer, Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Jay Goldberg, Seth Huberman
Arbitrator(s): Ann C. Northern, Marilyn J. Salzman, Randolph Guggenheimer
Hearing Site: New York, NY
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09-0506205/26/2010Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
08-0344608/10/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Desfor
Respondent Lawyers(s): Michael Eric Desfor
Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin
Hearing Site: Philadelphia, PA
08-0287107/17/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Louis Nebel, Anne Q. Uno, Baunita M. Greer
Hearing Site: Washington, DC
09-0091106/30/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Willie Brice
Respondent Lawyers(s): Willie J. Brice
Arbitrator(s): Joel Margolies
Hearing Site: Boca Raton, FL

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