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FINRA Awards for James Polese

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0245006/29/2018Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Polese
Respondent Lawyers(s): James S Polese
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
17-0257204/12/2018Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Polese
Respondent Lawyers(s): James S Polese
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA

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