| 17-02313 | 12/28/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jonathan Lake
Respondent Lawyers(s): Jonathan Richard Lake
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
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| 16-03334 | 12/22/2017 | Claimant(s): Frank Martin
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Harry L. Sheehy, Elizabeth C. Simon
Hearing Site: Chicago, IL
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| 17-00140 | 12/18/2017 | Claimant(s): Christopher Delong
Claimant Lawyers(s): Nicholas Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Reggie C. Giffin, Gregory G. Gocek, Zachary Lee Berkstresser
Hearing Site: Kansas City, MO
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| 17-01312 | 12/06/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Gordon Brown
Respondent Lawyers(s): Gordon Kenneth Brown
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 17-00936 | 11/30/2017 | Claimant(s): John Tompkins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
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| 17-01758 | 11/30/2017 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kean Bouplon
Respondent Lawyers(s): Kean Lynn Bouplon
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
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| 17-01490 | 11/14/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): David Olson
Respondent Lawyers(s): David Warren Olson
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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| 17-01784 | 11/09/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Hanieh Sadat Hendi
Respondent Lawyers(s): Hanieh Sadat Hendi
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
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| 16-00705 | 11/02/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Pat Folan
Arbitrator(s): Cheryl Marie Allain-Mee, Ellen Joan Fenten, Robin Z. Mathes
Hearing Site: Los Angeles, CA
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| 10-04094 | 11/01/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray, Thomas J. Momjian
Respondent(s): Daniel Thompson, Stephen Walker
Respondent Lawyers(s): Gary Green, Thomas J. Momjian
Arbitrator(s): Guillermo L. Bosch, John T. Hausladen, Roger Frazier Cox
Hearing Site: Philadelphia, PA
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