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FINRA Awards for Morgan Stanley Smith Barney Financing,

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0058306/10/2021Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Thomas Hagan
Respondent Lawyers(s): Thomas James Hagan
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
21-0013705/27/2021Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jeanette Stofleth
Respondent Lawyers(s): Donna Mack
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA

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