| 17-01650 | 10/25/2018 | Claimant(s): Stephen Whitman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Jeffrey S. Jacobi
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
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| 18-02231 | 10/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Robert Fantozzi
Respondent Lawyers(s): Robert Paul Fantozzi
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
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| 18-01962 | 10/16/2018 | Claimant(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
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| 18-02213 | 10/11/2018 | Claimant(s): Jeffrey Leach
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 18-00174 | 10/05/2018 | Claimant(s): John Scott
Claimant Lawyers(s): David W. Erb
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 18-02122 | 09/21/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Phillip Schreiner
Respondent Lawyers(s): Phillip Albert Schreiner
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 18-01958 | 09/19/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michael Nunez
Respondent Lawyers(s): Michael Ramon Nunez
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 18-00401 | 09/10/2018 | Claimant(s): Bruce Ballard
Claimant Lawyers(s): Michael Bessette
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Todd A. Holeman
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 16-03491 | 08/29/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Travis Chapin
Respondent(s): Michael Mawby
Respondent Lawyers(s): Steve Wasserman
Arbitrator(s): Tracy L. Allen, Stephen M. Bales, David Rosenblum Cohen
Hearing Site: Cleveland, OH
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| 18-00116 | 08/20/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Jeffry L. Perlman, Joan M. Confoy, Thomas James Hirsch
Hearing Site: Washington, DC
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