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FINRA Awards for Morgan Stanley Smith Barney FA Notes LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0196210/16/2018Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s): Alexander Jones
Respondent Lawyers(s): Alexander Clark Jones
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Charlotte, NC
13-0081604/17/2014Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jay Fratello
Respondent Lawyers(s): Jesse M. Tilden
Arbitrator(s): Richard J. Fuller
Hearing Site: Orlando, FL

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