| 11-03225 | 12/03/2014 | Claimant(s): Helen Edgerton
Claimant Lawyers(s): Robert G. Rikard
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Charles F. Boufford, Richard E. Miley, Donald John Andres
Hearing Site: Columbia, SC
|  | Expungement |
| 13-00252 | 09/08/2014 | Claimant(s): Mark Piccirillo
Claimant Lawyers(s): Michelle A. Fioravanti
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | $0 |
| 13-01237 | 07/25/2014 | Claimant(s): Ramona Wamba
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
| | Expungement |
| 10-00136 | 04/15/2014 | Claimant(s): Veronica O'Brien
Claimant Lawyers(s): Veronica O'Brien
Respondent(s): Morgan Stanley, Mark Digman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas J. Ray, Jennifer McGillivary, David Cottingham Mann
Hearing Site: St. Louis, MO
| | Expungement |
| 13-00024 | 10/28/2013 | Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone
Hearing Site: Charlotte, NC
| | Expungement |
| 10-04327 | 06/18/2013 | Claimant(s): Marguerite Arora, Raveen Arora, The Arora Family Trust
Claimant Lawyers(s): Gerard P. Fox
Respondent(s): Chuck Roberts, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Herbert Murez, Thomas R. Watkins, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | $205,028 |
| 09-06568 | 01/11/2013 | Claimant(s): John Turtzo, Estate of John A. Turtzo
Claimant Lawyers(s): Malcolm J. Gross
Respondent(s): Citigroup Global Markets., Peter Joseph, Ray Starner
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Marshall S. Galinsky, Steven T. Stern, Richard Frank Colello
Hearing Site: Philadelphia, PA
| | $0 |
| 09-07114 | 01/08/2013 | Claimant(s): James McGarry, Amethyst Music and Entainment.
Claimant Lawyers(s): James P. McGarry
Respondent(s): Citigroup Global Markets., Jack Hochstrasser
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Diane Getzler, Donald Raymond McNally, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 11-00620 | 09/07/2012 | Claimant(s): Judith Keiffer, Sebert Keiffer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): William H. Malloy, David Edward Upton, Beverly F. Druitt
Hearing Site: Richmond, VA
| | $191,168 |
