| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 12-01543 | 09/25/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): Saul Montes-Bradley
Respondent Lawyers(s): Saul M. Montes-Bradley
Arbitrator(s): Steven R. Reininger
Hearing Site: Miami, FL
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| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
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| 12-01545 | 09/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Allen
Respondent Lawyers(s): David L. Allen
Arbitrator(s): Peter D. Brennan
Hearing Site: San Diego, CA
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| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
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| 10-01677 | 09/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
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| 12-01595 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Francis Bice
Respondent Lawyers(s): Francis Xavier Bice
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 12-01187 | 09/07/2012 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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| 12-00792 | 09/05/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Thomas Staples
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
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