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FINRA Awards for Efren Cleofe

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0195804/19/2018Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): James M. Baumann, Efren Cleofe, Joseph H. Cerame
Hearing Site: Newark, NJ
12-0169507/29/2013Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA

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