23-00067 | 10/13/2023 | Claimant(s): Paul Schaefer Claimant Lawyers(s): Paul N. Schaefer Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Christopher J. Klein Hearing Site: Orlando, FL
| | $0 |
21-00438 | 09/29/2021 | Claimant(s): Marwan Karnabi Claimant Lawyers(s): Craig A. Riha Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Harvey Barrison Hearing Site: New York, NY
| | $0 |
17-01346 | 09/10/2018 | Claimant(s): Solomon Family Trust Claimant Lawyers(s): Lars K. Soreide Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Steven Gerard Goerke, Will Murphy, Thomas Fred Meyer Hearing Site: Boca Raton, FL
| | Expungement |
16-01991 | 08/15/2018 | Claimant(s): Douglas Gordon, Patricia Gordon Claimant Lawyers(s): Joseph Fogel Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Steven Gerard Goerke, Will Murphy, Gary Mathew Singer Hearing Site: Boca Raton, FL
| | Expungement |
16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn Claimant Lawyers(s): Jason T. Albin Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson Arbitrator(s): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch Hearing Site: Houston, TX
| | Expungement |
16-00101 | 05/08/2018 | Claimant(s): Carolyn Hunt-Monro Claimant Lawyers(s): Jason T. Albin Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson Arbitrator(s): Steven Meyrich, Donald N. Tolin, Ronald G. Guida Hearing Site: Denver, CO
| | Expungement |
17-02555 | 04/19/2018 | Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens Claimant Lawyers(s): Al Van Kampen Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): G. E. Craig Doupe Hearing Site: Seattle, WA
| | $42,093 |
16-02653 | 02/28/2018 | Claimant(s): Elaine Sommer, Richard Sommer, Elaine and Richard Sommer Joint Account, Elaine Sommer Revocable Trust, Richard Sommer Trust U/A DTD 1/13/95 Claimant Lawyers(s): Robert C. Harris Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Joseph Benalt, Donald Theodore Ryce, Alvin Abraham Simon Hearing Site: Boca Raton, FL
| | Expungement |
16-03458 | 12/21/2017 | Claimant(s): Joyce Paley, Sheldon Paley Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Alison Gardner, Morgan Stanley Respondent Lawyers(s): Katherine C. Donlon, Kimberly J. Gustafson Arbitrator(s): Edith N. Dinneen, Maurice M. Feller, Christopher William Crowley Hearing Site: Tampa, FL
| | Expungement |
17-00854 | 09/06/2017 | Claimant(s): Ana Blatman Claimant Lawyers(s): Ana Blatman Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Monroe Mitchel Hearing Site: Boca Raton, FL
| | $213 |