| 03-06262 | 01/14/2008 | Claimant(s): Corene Barr, Richard A. Barr, Corene and Richard Barr
Claimant Lawyers(s): Richard A. Barr
Respondent(s): Gary Allen, Morgan Stanley DW Inc.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Jon A. Bostrom, Ernest L. Burnside, Annette Gres Shepherd
Hearing Site: Los Angeles, CA
|  | $0 |
| 07-01027 | 12/21/2007 | Claimant(s): Margaret Welch
Claimant Lawyers(s): Margaret Ann Welch
Respondent(s): Morgan Stanley DW Inc., Robert Glover
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Charles R. Tindell, William H. Fleece, Elwood Henry Weilage
Hearing Site: Orlando, FL
| | $0 |
| 06-04213 | 12/05/2007 | Claimant(s): Salvador Marroquin
Claimant Lawyers(s): Matthew J. Pero
Respondent(s): Isidoro Miramontes, Morgan Stanley DW Inc.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Philip W. Burge, Herbert Murez, Suzanne Viau Chamberlain
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-00582 | 11/27/2007 | Claimant(s): Laura Hammond, Michael Hammond, Sports Etc II. Profit Sharing
Claimant Lawyers(s): Michael F. Hammond
Respondent(s): David Sidwell, John Riley, Morgan Stanley DW Inc., Citigroup Global Markets
Respondent Lawyers(s): Raul Sanchez, Susan Poder MacFarlane
Arbitrator(s): Byron Alexander Menides, Edward Joseph Boudreau, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 04-05847 | 11/21/2007 | Claimant(s): Gus Kyrkostas and Julie Kyrkostas
Claimant Lawyers(s): Richard M. Roth
Respondent(s): Harry Kroft, Harvey Permutt, UBS Financial Services Inc., Morgan Stanley DW Inc., Richard Jenkin, Stratis Zaferiou, Theo Zaferiou
Respondent Lawyers(s): Marianne Yen, Noah Weissman
Arbitrator(s): Christal J. Henner, Gary W. Sherbell, Cynthia A. DiMarco
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-04176 | 11/14/2007 | Claimant(s): Anne McDowell, Joseph Richter
Claimant Lawyers(s): Joseph M. Richter
Respondent(s): Morgan Stanley DW Inc., Lydia Hopps
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Robert D. Sussin, Gerald F. Corrigan, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 04-03297 | 10/17/2007 | Claimant(s): John Wai, Kassandra Wai, Custodian Account
Claimant Lawyers(s): Albert L. Boasberg
Respondent(s): Jeffrey Rodvien, Morgan Stanley DW Inc.
Respondent Lawyers(s): Mukya S. Porter
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | $0 |
| 07-01255 | 09/24/2007 | Claimant(s): Beverly Ashton
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley DW Inc., Ralph Drayer
Respondent Lawyers(s): Christopher Gawley
Arbitrator(s): R. Thomas Barksdale, Bill Swinford, Frank E. Barnett
Hearing Site: Nashville, TN
| | $0 |
| 06-00784 | 08/28/2007 | Claimant(s): James Gallen, Mary Gallen
Claimant Lawyers(s): Richard Sacks
Respondent(s): Morgan Stanley DW Inc., Thomas Marinshaw
Respondent Lawyers(s): Aaron L. Danzer
Arbitrator(s): Linda H. Perry-Cabrera, Harve E. Citrin, Kenneth D. Gack
Hearing Site: San Francisco, CA
| | $375 |
| 07-00383 | 08/22/2007 | Claimant(s): Chizuko Shahzad and Syed Mobin Shahzad
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
| | $213 |
