FINRA Awards for Morgan Stanley Capital Group

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
11-00951	08/29/2013	Claimant(s): Amit Gupta Claimant Lawyers(s): Amy C. Brown Respondent(s): Morgan Stanley & Co., Morgan Stanley Capital Group Respondent Lawyers(s): Jennifer J. Barrett Arbitrator(s): John W. Bissell, John S. Martin, Don Robinson Hearing Site: New York, NY
06-04508	03/10/2008	Claimant(s): David McLaren, Jean-Rene Menand, Pierre Willard, DML Sierra Vista Investments LLC, Gailen Partners, JRM San Antonio Investments LLC, JRM San Antonio Investors., JRM San Antonio Partners, PW Gailen Alto Investors., PW Gailen Investments, RJP Investment Partners, RJP Los Altos Investments LLC, Sierra Vista Partners, Ramesh and Jaya Padmanabhan Claimant Lawyers(s): W. Ralph Canada Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Rita Rothstein, Morgan Stanley Capital Group Respondent Lawyers(s): Eric G. Wallis Arbitrator(s): Frank R Weaver, Homer M. Dalbey, Hadden Wing Roth Hearing Site: San Francisco, CA		Stipulated Award and Expungement