| 11-00157 | 10/26/2012 | Claimant(s): Edward Duffie, Eleanor Duffie, Edward R. & Eleanor N. Duffie Irr Trust
Claimant Lawyers(s): Robert R. Sparks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Karla Y. Vogel, Arthur P. Barry, Patricia Ann Hone
Hearing Site: Atlanta, GA
|  | $0 |
| 11-02009 | 10/22/2012 | Claimant(s): James Lunceford, James D. Lunceford, TTEE
Claimant Lawyers(s): J. Pat Sadler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): August H. Schupp
Arbitrator(s): Robert H. Putnam, Joe E. Manuel, Brandt Leonard Ross
Hearing Site: Atlanta, GA
| | Expungement |
| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
| | Expungement |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 11-04281 | 08/28/2012 | Claimant(s): Melody Thayer
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | $95,047 |
| 11-02423 | 06/22/2012 | Claimant(s): Thomas Symonds, Thomas B Symonds, TTEE
Claimant Lawyers(s): Thomas B Symonds
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Robert J. Walter
Hearing Site: Orlando, FL
| | $575 |
| 11-04127 | 06/14/2012 | Claimant(s): Donald Cook, June Cook
Claimant Lawyers(s): Derek Andrews
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Paul Thomas
Arbitrator(s): Karin A. Schlosser
Hearing Site: Syracuse, NY
| | $2,191 |
| 11-00529 | 06/11/2012 | Claimant(s): Alice Muscara, Daniel Muscara
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brad Chamness, Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Edward R. Niederriter, Gary King, Raymond Luis Leon
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-03359 | 06/05/2012 | Claimant(s): Shirley Manos, Tom Manos, The Manos Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Merkel, Karen D. Hanson, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 10-04990 | 05/22/2012 | Claimant(s): CSJ Family Partnership Ltd.
Claimant Lawyers(s): J. Mitchell Clark
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley
Respondent Lawyers(s): Jonathan D. Robbins
Arbitrator(s): Ronald R. Simpson, Frank M. Romano, Donald K. Eckhardt
Hearing Site: Houston, TX
| | $0 |
