| 13-03401 | 08/08/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Louis Dworsky
Respondent Lawyers(s): Brandon S. Neuman
Arbitrator(s): Stephen P. Hoffman, Donald Cornelius Morrison, Charles S. Clayton
Hearing Site: Raleigh, NC
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| 15-02864 | 08/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Karimah Karah
Respondent Lawyers(s): Robert Diskint
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 15-03205 | 08/02/2016 | Claimant(s): Todd Kissel
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, Kathryn D. Perreault
Arbitrator(s): Howard J. Stiefel, Dolores D. Balsamo, Kenneth Paul Price
Hearing Site: New York, NY
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| 14-01088 | 08/01/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Bruce Lewitas, Joseph Vallo
Respondent(s): Dale Cebert
Respondent Lawyers(s): Peter B. King
Arbitrator(s):
Hearing Site: Orlando, FL
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| 11-01629 | 07/25/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Lee Bloom, Richard Dwyer
Respondent Lawyers(s): Rogge Dunn
Arbitrator(s): John P. Cullem, Frank William Savino, A.J. Seier
Hearing Site: Orlando, FL
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| 14-00025 | 07/14/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Max S. Emmer
Respondent(s): Gary Shumate
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): David M. Panko, Robin L. Lewis, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
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| 15-00610 | 07/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
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| 16-00191 | 06/16/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hld
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Scott Alcus
Respondent Lawyers(s): Scott Patrick Alcus
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
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| 15-00422 | 06/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Bugay
Respondent Lawyers(s): Timothy J. Trager
Arbitrator(s): Marvin B. Karelitz, Steven J. Feldman, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
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| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
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