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FINRA Awards for Robert A.W. Boraks

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0031403/07/2017Claimant(s): Beverly Carroll
Claimant Lawyers(s): Robert A.W. Boraks
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): David J. Sensenig
Arbitrator(s): Christopher M. McMurray, Michael R. Snow, Olivia Milbank Farrar
Hearing Site: Washington, DC
09-0202902/03/2011Claimant(s): Richard Brown, Sarah & David Brown Trust by Karen Midy
Claimant Lawyers(s): Donald Liberman
Respondent(s): Bruce Pomerantz, Charles Merwin, Wachovia Securities
Respondent Lawyers(s): Brian J. Ellis, Robert A.W. Boraks
Arbitrator(s): Craig Scott Bartlett, Louis H. Miron, John E. Shine
Hearing Site: Newark, NJ
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