| 13-03059 | 01/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Hearn
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s):
Hearing Site: Syracuse, NY
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| 14-03552 | 11/05/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Ralph Goodman
Respondent Lawyers(s): Ralph Ustin Goodman
Arbitrator(s): David R. Foley
Hearing Site: Syracuse, NY
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| 14-01296 | 05/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph Baumgarten
Respondent(s): Michael Dickstein
Respondent Lawyers(s): Todd Gutfleisch
Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver
Hearing Site: Syracuse, NY
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| 12-01106 | 08/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): David Ayres
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 10-05204 | 12/02/2011 | Claimant(s): Daniel Mody, Eric Krouse, Pinnacle Investments
Claimant Lawyers(s): David L. Ward
Respondent(s): Alan Barham, George Haskins, Louis Panigrosso, Rudolph Panigrosso
Respondent Lawyers(s): Charles O. Ingraham
Arbitrator(s): Frank C. Fogl, Madhu C. Trivedi, Robert J. Allen
Hearing Site: Syracuse, NY
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| 10-03651 | 10/21/2011 | Claimant(s): David Middlemiss
Claimant Lawyers(s): Leigh A. Lieberman
Respondent(s): Garry Payne, LFA, LimitedLiability Company, Lincoln Financial Advisors Corporation, Lincoln Life&Annuity Company of New York
Respondent Lawyers(s): Brian J. Butler
Arbitrator(s): Frank C. Fogl, Stuart A. Ober, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
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| 10-03775 | 03/28/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): James McKinlay
Respondent Lawyers(s): James K. McKinlay
Arbitrator(s): Joseph B. Russell
Hearing Site: Syracuse, NY
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