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FINRA Awards for MSSB Financing LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0052906/01/2023Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ronald Diaz
Respondent Lawyers(s): Ronald Diaz
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Phoenix, AZ
20-0233901/17/2023Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
19-0256107/22/2021Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA

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