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FINRA Awards for Sean Daly

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0280712/29/2017Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean Declan Daly
Arbitrator(s): F. Chet Taylor, Leo G. Stern, Frank Abramson
Hearing Site: Minneapolis, MN
05-0605101/16/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Sean Daly
Respondent Lawyers(s): Sean M. Daly
Arbitrator(s): Linda S. Cole, Joshua Mark Zucker, Renee La Verne Ross CFP
Hearing Site: New York, NY

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