| 12-04075 | 11/20/2013 | Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
|  | 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 |
| 11-00932 | 06/24/2013 | Claimant(s): John Kassel, Kay Hankins (Kassel), Kermit Jones, Rolfe Hankins, John I. Kassel IRA, Rolfe Harris Hankins IRA, Joye H. Steen Rev Trust Dtd 12/14/2004, Joye H. Steen Rev Trust FBO Joye Steen, Kermit V. Jones Jr., TTEE
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt
Respondent Lawyers(s): Jamie Berger, Joseph C. Coates
Arbitrator(s): Simeon B. Reimonenq, William Gilbert Faulk, James Albert Hurt
Hearing Site: Jackson, MS
| | $288,440 |
| 11-03660 | 05/02/2013 | Claimant(s): Felicia Jones
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): James Schwantner, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Kenneth E. Meister, Susan P. MacFarlane
Arbitrator(s): Marianne C. Hussey
Hearing Site: New York, NY
| | Expungement |
| 09-05573 | 04/03/2013 | Claimant(s): Norma Byer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Roger T. Verhage, Peter H. Daly, Joseph Berzok
Hearing Site: Reno, NV
| | Expungement |
| 09-06769 | 01/14/2013 | Claimant(s): Clearone Communications.
Claimant Lawyers(s): James E. Magleby
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Mary C. Davis, Donald Dreyfus, Brian Arnett Lebrecht
Hearing Site: Salt Lake City, UT
| | $0 |
| 11-04778 | 12/28/2012 | Claimant(s): Parry Sadoff Inc., Joan T. Kelly TR UAD 3//2/98 by Joan & J, Parry Sadoff Insurance Agency Proft Shar, Parry Sadoff Revocable Living Trust DTD
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Steven E. Eisenberg, Michael D Felton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $40,000 |
| 12-00604 | 12/21/2012 | Claimant(s): Louise Leon
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Dale Grubb, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03066 | 11/30/2012 | Claimant(s): Arlene Hazelrigg
Claimant Lawyers(s): Edward S. Gelfand
Respondent(s): Morgan Stanley & Co., Steven Vitale
Respondent Lawyers(s): Jonathan D. Robbins, Thomas P. Briody
Arbitrator(s): Roberta Haft, Benjamin F. Breslauer, David W. Dresnick
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-01411 | 11/26/2012 | Claimant(s): James Berggren, Patricia Berggren
Claimant Lawyers(s): James J. Moylan
Respondent(s): Hugo Long, Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Robert C. Bonges, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $52,065 |
