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FINRA Awards for Alan S Brodherson

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0273212/27/2019Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Michael Carter
Respondent Lawyers(s): Michael Barry Carter
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
19-0059806/03/2019Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): John Reynolds
Respondent Lawyers(s): John Stephen Reynolds
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
13-0086407/25/2013Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Philip Winters
Respondent Lawyers(s): Philip William Winters
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY

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