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FINRA Awards for John Simmons

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0366211/19/2013Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
09-0209007/12/2012Claimant(s): John Simmons, Scott Carle
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, Gail Brown, Morgan Keegan & Company., Randy Ross
Respondent Lawyers(s): David A. Picon, Matthew B. Baum, Wayne Hillis
Arbitrator(s): Brian Seth Orol, Leona Beane, Karen E. Sapp
Hearing Site: Raleigh, NC
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