| 09-06734 | 05/17/2012 | Claimant(s): Johnetta Allen
Claimant Lawyers(s): Sandor L. Grossman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
|  | $0 |
| 10-05817 | 04/13/2012 | Claimant(s): Agnes Ruymen, Estate of Roy Ruymen, Roy Ruymen's Retirement Accounts & Plans
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Louis H. Miron, William R.H. Martin, Louis P. Wagman
Hearing Site: Newark, NJ
| | Expungement |
| 10-03090 | 04/10/2012 | Claimant(s): Denise Cooley
Claimant Lawyers(s): Neyleen Beljajev
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Kathryn J. Toronto, Paul D. Gutierrez, Juleanne A. Thiebaut
Hearing Site: San Francisco, CA
| | Expungement |
| 11-03699 | 04/04/2012 | Claimant(s): Vinita Wadhwani, Vishin Wadhwani
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy Robinson
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 11-00535 | 03/26/2012 | Claimant(s): Jeffrey Brown
Claimant Lawyers(s): Jeffrey L. Brown
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Leonard Waldmann
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
| | Stipulated Award and Expungement |
| 09-03464 | 03/14/2012 | Claimant(s): Ora Hodges, Paul Kay
Claimant Lawyers(s): Ora Hodges
Respondent(s): James Kujawski, Morgan Stanley & Co., Kristin Long, Morgan Stanley Smith Barney
Respondent Lawyers(s): Christopher Wilson, James A. Kujawski, Kristin G. Long
Arbitrator(s): William H. Malloy, Nickey D. Turner, William Stephen McGee
Hearing Site: Washington, DC
| | Expungement |
| 10-00638 | 03/12/2012 | Claimant(s): The Sunrise Trust
Claimant Lawyers(s): Susan King
Respondent(s): Morgan Stanley & Co., Timothy McElroy
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alan J. Duncan, Joe S. Tarrer, James H. McAvoy
Hearing Site: Las Vegas, NV
| | $0 |
| 11-01531 | 02/16/2012 | Claimant(s): Lawrence Glaser, Benjamin Glaser, Erin Glaser, Hannah Glaser, Kimberly Glaser
Claimant Lawyers(s): Simon Kogan
Respondent(s): Edmund Stephan, Jonathan Legg, Morgan Stanley & Co.
Respondent Lawyers(s): Edmund Stephan, Joseph C. Coates
Arbitrator(s): Louis Paul Sitnik, Joyce A. Mitchell, Mark R. Joelson
Hearing Site: Washington, DC
| | Expungement |
| 11-00578 | 02/01/2012 | Claimant(s): Jamie Tyszka, Lawrence Barr, Estate of Perry I. Barr, Deceased
Claimant Lawyers(s): Steven C. Forman
Respondent(s): Morgan Stanley & Co., Stanley Lerner
Respondent Lawyers(s): John Castelly
Arbitrator(s): Guillermo L. Bosch, Benjamin F. Richards, David M. Panko
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02867 | 01/04/2012 | Claimant(s): Nino Calabrese
Claimant Lawyers(s): H. Robert Boney
Respondent(s): Morgan Stanley & Co., Thomas Hurley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
| | $0 |
