| 19-03340 | 11/04/2021 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Ameriprise Financial Services, Michael Peterson
Respondent Lawyers(s): Danya W. Blair, James E. Heavey
Arbitrator(s): James A. Sigler, Paul E. Dahlman, Richard Mathew Greenspan
Hearing Site: Las Vegas, NV
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| 20-01929 | 03/02/2021 | Claimant(s): James Lombardo
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Brian John Gallagher, Peter E. Gillespie, Steven Gargiulo
Hearing Site: New York, NY
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| 17-02213 | 06/12/2018 | Claimant(s): Todd Hubley
Claimant Lawyers(s): James E. Heavey
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
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| 13-03449 | 12/17/2015 | Claimant(s): Richard Divenuto
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward S. Bradley, David S. Billet, Clifford Matthew Olson
Hearing Site: New York, NY
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| 13-01513 | 07/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Richard Divenuto
Respondent Lawyers(s): James E. Heavey
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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| 12-00451 | 11/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Daniel Masiello, Mary Baranowski-Gallo, Philip Pursino
Respondent Lawyers(s): Edward B. Magarian, James E. Heavey, Philip Pursino
Arbitrator(s): Michael Ross, Martin A. Edelstein, Marianne C. Hussey
Hearing Site: New York, NY
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| 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
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