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FINRA Awards for Morgan Stanley Smith Barney FA Notes FA

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0257011/11/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
11-0118608/31/2012Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Luetkemeyer
Respondent Lawyers(s): David Patrick Luetkemeyer
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, Murray S. Levin
Hearing Site: Kansas City, MO

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