| 12-00111 | 01/29/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 12-02809 | 01/18/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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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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| 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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| 12-02540 | 11/16/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Zhe Li
Respondent Lawyers(s): Zhe Li
Arbitrator(s): B. J. Krintzman
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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| 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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| 12-00792 | 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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| 12-01417 | 08/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Scot Erwin
Respondent Lawyers(s): Scot J. Erwin
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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