| 11-00647 | 07/06/2011 | Claimant(s): Dr. James & Nada Eischen
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
|  | Dismissed by Rule 12206 |
| 09-05394 | 06/30/2011 | Claimant(s): Ray Sherbert, MD and Kathryn J. Sherbert
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): William F. Julavits, Michael E. Easterday, Walter J. Wylie
Hearing Site: Columbia, SC
| | $179,409 |
| 09-05428 | 06/21/2011 | Claimant(s): Brandon Lew, Wendy Lew, Brandon Lew Inherited IRA, Wendy Lew SEP IRA, HMH Emergency Medical Group 401(K) Profi, Lew Family Trust UTA DTD 9/11/07
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Diana Li, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Diana D. Li, Wendy R. Robinson
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $600 |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, FL
| | Expungement |
| 10-01606 | 05/24/2011 | Claimant(s): Robert Ragsdale, Robert M. Ragsdale IRA
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherry R. Wetsch, Charles A. Bankston, Eric R. Benton
Hearing Site: Houston, TX
| | $127,000 |
| 10-00040 | 04/29/2011 | Claimant(s): Barry Burgess
Claimant Lawyers(s): Barry Burgess
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Ferdinand Schoch, F. Conger Fawcett, Gary H. Kahn
Hearing Site: San Francisco, CA
| | $0 |
| 09-02465 | 04/20/2011 | Claimant(s): Iris Seeley, Paul Seeley
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Jerome Stern, Jack J. Herman, G. Marshall Abbey
Hearing Site: Chicago, IL
| | $0 |
| 10-00521 | 04/08/2011 | Claimant(s): The City of Burlington, Vermont
Claimant Lawyers(s): Jerome Schlichter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Guy T. Mango
Hearing Site: Montpelier, VT
| | Expungement |
| 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 |
| 09-07051 | 03/11/2011 | Claimant(s): Ross Carter and Jane Carter
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Diana A. Weiner, Jason D. White, Oliver J. Janney
Hearing Site: Tampa, FL
| | Expungement |
