| 16-00399 | 06/08/2018 | Claimant(s): Robynn Dorffi, Wesley Dorffi, Dorffi Family Trust dated 12/19/2003
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): David Snyder, Morgan Stanley & Co.
Respondent Lawyers(s): Lisa Bertain
Arbitrator(s): Arthur T. Berggren, Michael John Florio, Michael Richard Henri Post
Hearing Site: Los Angeles, CA
|  | $0 |
| 17-02034 | 05/22/2018 | Claimant(s): Greg Morelli
Claimant Lawyers(s): John M. Sheldon
Respondent(s): Morgan Stanley & Co., Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Charles Orlove, Jacqueline Stanley Lustig, Michael R. Sherwin
Hearing Site: Chicago, IL
| | $0 |
| 16-01538 | 11/22/2017 | Claimant(s): Martha Simkovitz
Claimant Lawyers(s): Sabato P. Fiano
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Jeffrey Miller, Morgan Stanley & Co..
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Philip S. Walker, Mae A. Brudner, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | $209,775 |
| 16-01798 | 11/17/2017 | Claimant(s): Barry Raymond, Leanne Raymond, The Barry Raymond 2000 Trust, The Leanne Raymond 2000 Trust, The Raymond Family 2000 Insurance Trust
Claimant Lawyers(s): Lawrence Hornsby
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Ronald Garrison
Respondent Lawyers(s): Roxanne Fixsen
Arbitrator(s): Ian S. Greig, Colleen Rotella, John H. Komoroske
Hearing Site: Orlando, FL
| | Expungement |
| 16-02519 | 11/01/2017 | Claimant(s): Jerry and Sandra Staub
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fredric R. Dichter, Donald Theodore Ryce, Sara Elizabeth Hanley
Hearing Site: Boca Raton, FL
| | $432,823 |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 15-03104 | 02/27/2017 | Claimant(s): Mary Jo Metro
Claimant Lawyers(s): Daniel A. Rogers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): William J. Brack, Laurel Littman Gothelf, William P. Bergsten
Hearing Site: Seattle, WA
| | $0 |
| 15-00774 | 12/15/2016 | Claimant(s): George Farr, David P. Farr 2008 Revocable Trust, George I. Farr Revocable Trust, George I. Farr 2011 Irrevocable Trust, Judith A. Farr Revocable Trust, Norene Farr 2008 Revocable Trust
Claimant Lawyers(s): Peter R. Pendergast
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Eugene Tenenbaum, Sharon L. Monroe, John James McGovern
Hearing Site: Manchester, NH
| | Expungement |
| 15-01808 | 12/08/2016 | Claimant(s): Johanna Pischel, Michael Pischel
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Kurt Uzbay, Morgan Stanley Smith Barney
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Lincoln W. Craighead, Keely D. Parr, Alexander Paul Corner
Hearing Site: New York, NY
| | Expungement |
| 16-00467 | 10/10/2016 | Claimant(s): Harold Sherman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, Timothy B. Atkins
Arbitrator(s): Marc T. Danon, Raymond E. Cornelius, Richard Merritt Langway
Hearing Site: Orlando, FL
| | Expungement |
