| 12-02086 | 01/14/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): John K. Wells
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
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| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
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| 12-02863 | 12/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Laughlin
Respondent Lawyers(s): Thomas Joseph Laughlin
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 12-00658 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Steven Sanders
Respondent Lawyers(s): J. Ryan Kirchoff
Arbitrator(s): James F. Zotter
Hearing Site: Portland, OR
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| 12-01920 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Rafael Calleja
Respondent Lawyers(s): Rafael Antonio Calleja
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
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| 11-00958 | 12/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Chad Samuel
Respondent Lawyers(s): Chad H. Samuel
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, David A. Nixon
Hearing Site: Kansas City, MO
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| 12-01849 | 12/19/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Eric M. Chial, Jonathan Berg, Esq.
Respondent(s): David Manno
Respondent Lawyers(s): David T. Manno
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 12-02206 | 12/14/2012 | Claimant(s): Morgan Stanley, Robert Lynch
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Edward Swyer
Respondent Lawyers(s): Luke Nikas
Arbitrator(s): Jacqueline W. Marshall, Jennifer L. Bliss
Hearing Site: Albany, NY
| | Expungement |
| 11-02413 | 12/11/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Richard Chan
Respondent Lawyers(s): Richard Lee Chan
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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