| 10-04757 | 06/15/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Robert Soucy
Respondent Lawyers(s): Robert Henri Soucy
Arbitrator(s): Alan J. Duncan, Herbert Murez, Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | |
| 11-01558 | 06/15/2012 | Claimant(s): Paul Stanford
Claimant Lawyers(s): Steven Rosenberg
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Sandor I. Rabkin, James Dale Murphy, Lee McHarg Holland
Hearing Site: Boston, MA
| | |
| 10-03113 | 06/08/2012 | Claimant(s): Oliver Schwarz
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings.
Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald
Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 12-00102 | 06/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Frank Guzman
Respondent Lawyers(s): Frank Jesus Guzman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 11-02943 | 06/07/2012 | Claimant(s): Karsten Caviezel, Kelly Caviezel
Claimant Lawyers(s): Terry A. Robinson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 11-03456 | 05/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Scottie Price
Respondent Lawyers(s): Scottie Ray Price
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | |
| 11-04314 | 05/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | |
| 10-04361 | 05/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
| | |
| 11-01743 | 05/25/2012 | Claimant(s): Blake Pratz
Claimant Lawyers(s): John L. Grayson
Respondent(s): Kirstin Turner, Morgan Stanley, Rose Cook
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): Vernon Keith Roberts, William Edward Buck, Michael S. Wilk
Hearing Site: Houston, TX
| | |
| 11-01965 | 05/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Kip Mack
Respondent Lawyers(s): Kip Mack
Arbitrator(s): John C. Yeoman
Hearing Site: Atlanta, GA
| | |
