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FINRA Awards for Dale Johnson

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0439101/10/2011Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
Checkmark Icon$0
05-0624711/26/2007Claimant(s): RBC Dain Rauscher.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Dale Johnson, James Tallant, John Pennington, Keith Shahan, Morgan Stanley DW Inc., Samuel Sloane, Susan Stroud
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Simeon R. Trotter, Malcolm W. Clarrissimeaux, Ted Martin Akin
Hearing Site: Dallas, TX

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