| 10-03910 | 04/20/2012 | Claimant(s): Dawn Fragala
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sandra J. Mullings, Sandra Gale Behrle, Jonathan L. Goldfarb
Hearing Site: New York, NY
|  | Expungement |
| 11-01006 | 04/12/2012 | Claimant(s): Andy Shalit, Tresa Shalit
Claimant Lawyers(s): Todd A. Prins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Charles E. Munson
Hearing Site: Houston, TX
| | Expungement |
| 11-00535 | 03/26/2012 | Claimant(s): Jeffrey Brown
Claimant Lawyers(s): Jeffrey L. Brown
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Leonard Waldmann
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
| | Stipulated Award and Expungement |
| 10-04564 | 03/16/2012 | Claimant(s): Anna DeVincenzo, DeVincenzo Revocable Living Trust
Claimant Lawyers(s): Ray T. Rockwell
Respondent(s): John Cummings, Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Walter P. Hitchcock, John Edward Bersin, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $305,000 |
| 10-05074 | 02/03/2012 | Claimant(s): Donn Philip Crane
Claimant Lawyers(s): Donn Philip Crane
Respondent(s): Jeramy Heath, Morgan Stanley
Respondent Lawyers(s): Kenneth J. Haim
Arbitrator(s): Jennifer L. Bliss
Hearing Site: Albany, NY
| | $0 |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 10-03212 | 12/27/2011 | Claimant(s): Lawrence O'Brien, Lawrence J. O'Brien Revocable Trust U/T/
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Linda M. Granata, Gary King, Milton Thurm
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-04783 | 12/19/2011 | Claimant(s): Est. of Percival H.E. Leach by Gregory G
Claimant Lawyers(s): Christopher E. Torkelson
Respondent(s): E. du Pont, Morgan Stanley
Respondent Lawyers(s): Alissa Pyrich, Joseph L. Calabrese
Arbitrator(s): Linda T. Pellegrino, Philip Rachmelowitz, S. Charles Tabak
Hearing Site: Newark, NJ
| | $48,000 |
| 09-06924 | 12/15/2011 | Claimant(s): Marie Mirch
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Joseph C. Roberts, Joseph M. O'Connor, Gregory Jay Gursey
Hearing Site: Reno, NV
| | Expungement |
| 10-01923 | 12/14/2011 | Claimant(s): Karen Kramer, Richard Kramer IRA
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John L. Castelly
Arbitrator(s): Guillermo L. Bosch, Margaret Mary Crumley, L. Martin Miller
Hearing Site: Philadelphia, PA
| | Expungement |
