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FINRA Awards for Richard Divenuto

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0344912/17/2015Claimant(s): Richard Divenuto
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward S. Bradley, David S. Billet, Clifford Matthew Olson
Hearing Site: New York, NY
13-0151307/14/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Richard Divenuto
Respondent Lawyers(s): James E. Heavey
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
11-0050810/19/2012Claimant(s): Michael Pascazi
Claimant Lawyers(s): Michael S. Pascazi
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Divenuto, Salomon Smith Barney Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Pamela H. Roderick, Allan E. Johnson, Richard Gee
Hearing Site: New York, NY
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