| 19-01579 | 10/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Peter Ingraham
Respondent Lawyers(s): Peter J. Ingraham
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
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| 19-01398 | 09/06/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Travis Chapin
Respondent(s): David Kraft
Respondent Lawyers(s): David Wayne Kraft
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
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| 18-03374 | 04/24/2019 | Claimant(s): Herbert J. Sims & Co.
Claimant Lawyers(s): Enrique G. Figueroa-Llinas
Respondent(s): Jaime Sanchez Rivera
Respondent Lawyers(s): Jaime Isaac Sanchez Rivera
Arbitrator(s): Bernard A. Becker
Hearing Site: San Juan, PR
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| 15-01662 | 03/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Bernard A. Becker
Hearing Site: San Juan, PR
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| 14-00218 | 03/30/2015 | Claimant(s): Carlos Gallo, Jeannie Adams-Camblin
Claimant Lawyers(s): Chryssa V. Valletta, Donald L. Kreindler
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Steven N. Ainbinder, Bernard A. Becker, Eugene D. Mirabello
Hearing Site: Miami, FL
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| 12-03764 | 08/30/2013 | Claimant(s): Robert Sperber
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Joseph L. Bernstein, Bernard A. Becker, Mark T. Burnam
Hearing Site: Miami, FL
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| 13-00614 | 08/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Michael Davenport
Respondent Lawyers(s): Michael Derrick Davenport
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
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| 12-01767 | 04/10/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): Julie Sheppard
Respondent Lawyers(s): Julie Lynn Sheppard
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
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| 12-02646 | 03/07/2013 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Lydia Rodriguez Tirado, Oscar Diaz
Respondent Lawyers(s): Lydia Rodriguez Tirado, Oscar Diaz
Arbitrator(s): Bernard (Bob) L. Loring, Bernard A. Becker, Barth Satuloff
Hearing Site: San Juan, PR
| | Expungement |
| 11-01396 | 06/19/2012 | Claimant(s): Lloyd Kolokoff
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Bernard A. Becker, Gilbert Tendler, Ivy Robin Ginsberg
Hearing Site: Miami, FL
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