| 16-02807 | 12/29/2017 | Claimant(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
| | |
| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 12-01238 | 12/26/2012 | Claimant(s): Donald Larson
Claimant Lawyers(s): Christopher Parrington
Respondent(s): Craig Meuer, Grant Lindaman, Financial Advisers Of America
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): James A. Lundberg, F. Chet Taylor, Joan L. Volz
Hearing Site: Minneapolis, MN
|  | Stipulated Award |
| 06-04930 | 11/13/2007 | Claimant(s): Earl Smith
Claimant Lawyers(s): Robert J. Hinsch
Respondent(s): Adam Novick, Craig Balsam, John Engelskirger, Leonard Monteforte, Timothy Daly
Respondent Lawyers(s): Adam Matthew Novick, Craig Stuart Balsam, John William Engelskirger, Leonard Frank Monteforte, Timothy James Daly
Arbitrator(s): F. Chet Taylor, Jeffrey W. Jacobs, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $33,850 |
