| 12-04196 | 08/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Gina Carosella
Respondent Lawyers(s): Christopher J. Carcich
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
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| 13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Yana Kromo
Respondent(s): Denise Thornburgh
Respondent Lawyers(s): Denise L. Thornburgh
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 13-00864 | 07/25/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Philip Winters
Respondent Lawyers(s): Philip William Winters
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
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| 13-00105 | 07/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
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| 13-00200 | 07/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Pylar Pinkston
Respondent Lawyers(s): Pylar Siria Pinkston
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 12-01386 | 07/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joseph Buchanan
Respondent Lawyers(s): Joseph Buchanan
Arbitrator(s): Mark S. Priver, David W. Dresnick, Daniel R. Brush
Hearing Site: Los Angeles, CA
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| 13-00557 | 06/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Audrey Hendricks
Respondent(s): Justin Fawcett
Respondent Lawyers(s): Justin Fawcett
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
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| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00173 | 06/17/2013 | Claimant(s): Brannan Vaughan
Claimant Lawyers(s): Timm A. VerDuin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 12-04312 | 06/14/2013 | Claimant(s): John Toman
Claimant Lawyers(s): Debra V. Achkire
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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