| 17-00990 | 08/08/2018 | Claimant(s): John Gherty, M. Anne Gherty
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Randall Johnson
Respondent Lawyers(s): Joseph A. Sack, Joseph W. Anthony
Arbitrator(s): Kerry C. Koep, Steven M. Bialick, Gregory John Peterson
Hearing Site: Minneapolis, MN
|  | $150,410 |
| 16-02013 | 08/08/2018 | Claimant(s): Bryan Hanson, Linda Hanson, Bryan K. Hanson Revocable Trust
Claimant Lawyers(s): Ryan S. Cook
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): Marc Kalish, David S. Eisenberg, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $0 |
| 16-00776 | 08/07/2018 | Claimant(s): Gwendolyn Denton
Claimant Lawyers(s): Gwendolyn Denton
Respondent(s): Morgan Stanley, Pilar Estrella
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Monroe Mitchel, Ellen J. Abrams, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $0 |
| 17-02406 | 08/07/2018 | Claimant(s): Alan Verkman
Claimant Lawyers(s): Alan S. Verkman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $3,485 |
| 18-00030 | 08/07/2018 | Claimant(s): Jean Giresi
Claimant Lawyers(s): Jean Giresi
Respondent(s): Gabriel Tessar, William Blackford
Respondent Lawyers(s): David J. Freniere, Gabriel Gerard Tessar
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
| | $0 |
| 17-01897 | 08/06/2018 | Claimant(s): Dawn Gray
Claimant Lawyers(s): Dawn Gray
Respondent(s): Jason Exley, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): T.R. Bynum
Arbitrator(s): Gerald W. Hepp
Hearing Site: Minneapolis, MN
| | Expungement |
| 18-00943 | 08/06/2018 | Claimant(s): Vincent Chu
Claimant Lawyers(s): Vincent Chu
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): Robert Charkovsky
Hearing Site: Washington, DC
| | $375 |
| 18-01014 | 08/06/2018 | Claimant(s): Elizabeth Kohlstaedt, Elizabeth V. Kohlstaed IRA
Claimant Lawyers(s): Scott Peterson
Respondent(s): Keith Duncan, Investacorp.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | $0 |
| 17-00797 | 08/01/2018 | Claimant(s): Dennis Magid
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Wells Fargo Advisors, Lynn Grossman
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): John J. Mager, Morris James Busca, Lisa Joy Cappalli
Hearing Site: Hartford, CT
| | Expungement |
| 18-00182 | 08/01/2018 | Claimant(s): Amy Kornblau, David Kornblau, Joel Kornblau
Claimant Lawyers(s): Anthony Michael Sabino
Respondent(s): Harry Datys, Westpark Capital.
Respondent Lawyers(s): Julie Kamps
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | $300 |
