| 15-00194 | 06/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Doug Hyman
Respondent(s): Lloyd Clunie
Respondent Lawyers(s): Lloyd Neale Clunie
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 14-02722 | 05/29/2015 | Claimant(s): John Nardone, Morgan Stanley
Claimant Lawyers(s): Chan H. Nam
Respondent(s): Elizabeth Lastowski
Respondent Lawyers(s): Christopher Jones
Arbitrator(s): Jim Geiger, Stephen T. Mayhew, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 14-00233 | 05/20/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L Herskovits
Respondent(s): Peter Foote
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Karen V. Cunningham, Jane C. Carney, Sandra Holmes
Hearing Site: Baltimore, MD
| | |
| 14-01507 | 05/20/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Peter E. Schurig
Respondent(s): Marilyn Hoosen
Respondent Lawyers(s): Marilyn S. Hoosen
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | |
| 14-00726 | 05/15/2015 | Claimant(s): William Norton
Claimant Lawyers(s): William Russell Norton
Respondent(s): Debra Combs, Greg Banasz, Jackie Bae-kingkeo, John Tinsley, Morgan Stanley, Mark Puccini
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June White Dillard, Patricia M. Maher, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | |
| 12-02170 | 05/13/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Nicolette Siyufy
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Patricia Gunn, Margaret R. Hoyt, Lynn Saunders Matthews
Hearing Site: Orlando, FL
| | |
| 14-02371 | 05/08/2015 | Claimant(s): Brandon Chang, Winifred Sun
Claimant Lawyers(s): Christine A. Page
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Theresa Y. Hu, Karen L. Gold, Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 12-04367 | 05/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Samuel R. Mauch
Respondent(s): John Offenburger
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Charles D. Underwood, Larry P. Larsen, Robert L. Washburn
Hearing Site: Columbus, OH
| | |
| 14-00427 | 05/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Anthony Dutter
Respondent Lawyers(s): Anthony Ryan Dutter
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 13-02852 | 04/28/2015 | Claimant(s): Corinne Fond
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Harvey C. Flodin, Mark R. Lee, Jo-Ann C. Little
Hearing Site: San Diego, CA
| | |
