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FINRA Awards for Jonathan Berg

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Displaying 11-20 out of 60 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0236101/06/2015Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Candius Bannister
Respondent Lawyers(s): Candius J. Bannister
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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
14-0147810/24/2014Claimant(s): MSSB FA Notes Holdings LLC, Morgan Stanely Smith Barney LLC
Claimant Lawyers(s): Jonathan Berg
Respondent(s): William Almond
Respondent Lawyers(s): William Walter Almond
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
14-0034910/06/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Thompson
Respondent Lawyers(s): Scott Alexander Thompson
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
13-0302109/23/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Karla Bounds
Respondent Lawyers(s): Karla Renee Bounds
Arbitrator(s): Bill M. Lamoreaux
Hearing Site: Dallas, TX
13-0236809/19/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Raymond Calderon
Respondent Lawyers(s): Raymond Calderon
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
14-0104609/11/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Eric Ruth
Respondent Lawyers(s): Eric Martin Ruth
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
13-0124307/14/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edith N. Dinneen, Karl A. Vogeler, Erin Kathleen Linehan
Hearing Site: Tampa, FL
13-0151307/14/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Richard Divenuto
Respondent Lawyers(s): James E. Heavey
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY

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