| 13-01247 | 12/31/2014 | Claimant(s): The Alice Bilinsky Trust
Claimant Lawyers(s): Alan Kestenbaum
Respondent(s): Deborah Mamber, Dino Carfora, E. Youngberg, Citigroup Global Markets., Julian Frank, Morgan Stanley, Michael Thom, Steven Hart, Steven Sapirstein
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Julian F. Santos, Judith Fields Jurney, Josian Antoine
Hearing Site: New York, NY
|  | $0 |
| 10-03301 | 08/11/2014 | Claimant(s): Endre Balazs, Janet Delinger
Claimant Lawyers(s): Henry Pass, Richard G. Tuttle
Respondent(s): Andrew Levas, Bennett Firestein, Bill Grous, Morgan Stanley & Co.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Daniel J. McCarthy, Julian F. Santos, Joseph Christopher Rosa
Hearing Site: Newark, NJ
| | Expungement |
| 13-01093 | 04/28/2014 | Claimant(s): James Cohen
Claimant Lawyers(s): James D. Cohen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Julian F. Santos, Morton S. Bunis, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $50,000 |
| 13-02157 | 03/19/2014 | Claimant(s): Xing Li
Claimant Lawyers(s): Xing Li
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | $11,326 |
| 11-02517 | 02/14/2014 | Claimant(s): Charles Lowden
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Anthony Ottimo, Nicholas Bentivegna, Richard Borgner, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Nicholas Bentivegna, Richard Reiss Borgner, Thomas Giugliano
Arbitrator(s): Julian F. Santos, Salvatore Saladini, Robert E. Anderson
Hearing Site: Newark, NJ
| | $100,000 |
| 13-00829 | 08/29/2013 | Claimant(s): Fred Bauries IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | $25,518 |
| 12-02231 | 02/08/2013 | Claimant(s): Dina Nogueira, Ricardo Nogueira
Claimant Lawyers(s): Ricardo Nogueira
Respondent(s): Ameriprise Financial Services., Michael Gould
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: Newark, NJ
| | $213 |
| 11-00258 | 07/17/2012 | Claimant(s): Helena Stuart, John Stuart
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley, Robert Fomon
Respondent Lawyers(s): Kenneth E. Meister, Susan Poder MacFarlane
Arbitrator(s): Diane Getzler, Orestes J. Mihaly, Julian F. Santos
Hearing Site: New York, NY
| | $0 |
| 09-07080 | 10/11/2011 | Claimant(s): Inge Lake Pre School.
Claimant Lawyers(s): Kim Taylor
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Anthony P. Connolly, Julian F. Santos, Stephanie M. Miller
Hearing Site: Newark, NJ
| | $12,063 |
| 10-00418 | 03/17/2011 | Claimant(s): Lawrence Haaker
Claimant Lawyers(s): Jonathan Sack
Respondent(s): John Dunn, Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert I. Rabinowitz, Julian F. Santos, Anna Lascar
Hearing Site: New York, NY
| | $0 |
