| 24-00598 | 11/07/2024 | Claimant(s): Arkadiusz Ploski
Claimant Lawyers(s): Arkadiusz Ploski
Respondent(s): Morgan Stanley & Co., E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
|  | $3,768 |
| 21-02824 | 04/12/2024 | Claimant(s): Charlie Meredith
Claimant Lawyers(s): David A. Welling
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison
Hearing Site: San Diego, CA
| | Expungement |
| 19-00016 | 10/05/2022 | Claimant(s): Arthur Olson
Claimant Lawyers(s): James J. Moylan
Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 21-00236 | 08/05/2022 | Claimant(s): Detalus Advisors
Claimant Lawyers(s): Donald J. Mehan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Michael J. Tiffany
Arbitrator(s): Robert J. Gryzmala, MaryJane Rabier
Hearing Site: St. Louis, MO
| | Expungement |
| 21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore
Claimant Lawyers(s): Patricia A. Gremore
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors.
Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-03554 | 08/03/2021 | Claimant(s): Joan Rudnick, Oak Trail Associates LLC, Oak Trail, II
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Linda J. Baer, Marvin L. Schuldiner, Lucille Theresa Alfano
Hearing Site: Jersey City, NJ
| | $642,610 |
| 19-01094 | 07/26/2021 | Claimant(s): Alfred Papetti, Stephen Papetti
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Fred S. Pieroni, Julian F. Santos, Andrea Horowitz
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-02913 | 12/16/2020 | Claimant(s): Maria Redwine
Claimant Lawyers(s): William B. Fleming
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser
Hearing Site: Columbia, SC
| | $167,294 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Andrew Black, Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor
Hearing Site: New Orleans, LA
| | $109,323 |
