| 10-05731 | 03/15/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Barney Greengrass
Respondent Lawyers(s): Ethan A. Brecher
Arbitrator(s): Jack Friedman, Abigail J. Pessen, John Nino Brenkovich
Hearing Site: New York, NY
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| 10-02128 | 07/17/2012 | Claimant(s): Clark Dodge & Co..
Claimant Lawyers(s): Michael Finkelstein
Respondent(s): Ben Gecaj, Timothy Bradley, Timothy Murphy, Waterford Investor Services.
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Roger J. Hawke, Jack Friedman, Stevan J. Bosses
Hearing Site: New York, NY
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| 11-02308 | 05/04/2012 | Claimant(s): Rodney Plaskett
Claimant Lawyers(s): Rodney A. Brown
Respondent(s): Ledgemont Capital Group, Ledgemont Securities LLC
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Philip M. Mandel, Jack Friedman, Aubrey Lees
Hearing Site: New York, NY
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| 10-01021 | 03/06/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): James Kingsbury
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Christine Costigan
Hearing Site: New York, NY
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| 11-01670 | 10/20/2011 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 10-01868 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Cerf
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 10-04969 | 04/19/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jessica Winczner
Respondent Lawyers(s): Jessica T. Winczner
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 10-05459 | 04/07/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Denise Otten
Respondent Lawyers(s): Denise G. Otten
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
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| 10-05372 | 04/04/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Robert O'Herlihy
Respondent Lawyers(s): Robert O'Herlihy
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
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| 10-04771 | 03/11/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): Denise Rocchio
Respondent Lawyers(s): Denise Rocchio
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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