| 14-00259 | 10/12/2017 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Marguerite C. Snyder
Respondent(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven Gerard Goerke, Jeffrey R. Roth, Michael S. Kozlow
Hearing Site: Miami, FL
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| 12-03797 | 02/02/2015 | Claimant(s): Marcos Bowers
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Daniel R. Korb, Jr.
Arbitrator(s): Richard S. Zaifert, John C. Holmes, Michael S. Kozlow
Hearing Site: Miami, FL
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| 09-05075 | 11/04/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): James Morse
Respondent Lawyers(s): James Grant Morse
Arbitrator(s): Michael S. Kozlow
Hearing Site: Boca Raton, FL
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| 07-01744 | 03/13/2008 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings
Claimant Lawyers(s): W. Jerad Rissler
Respondent(s): Rick Jensen
Respondent Lawyers(s): William M. Van Camp
Arbitrator(s): Steven A. Hurst, Barry Rabinowitz, Michael S. Kozlow
Hearing Site: Boca Raton, FL
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