| 12-00870 | 02/02/2015 | Claimant(s): Thomas Murray
Claimant Lawyers(s): Thomas M. Murray
Respondent(s): Christopher Guarino, Morgan Stanley
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Dorrith Leipziger, Mauricio Arcadier, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
|  | $0 |
| 13-02739 | 02/02/2015 | Claimant(s): Edward Kraus, Sandra Kraus
Claimant Lawyers(s): Sara E. Hanley
Respondent(s): Carlos Dominguez, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre C. Wolff, Walter L. Baumgardner
Arbitrator(s): Judith Stilz Ogden, John D. Mattingly, Yvette L. Nurse
Hearing Site: Atlanta, GA
| | $0 |
| 11-04166 | 02/02/2015 | Claimant(s): Warren Teitelbaum
Claimant Lawyers(s): George S. Mahaffey
Respondent(s): Jay Canell, Morgan Stanley, Neil Canell
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Robert Paulger Linn, John Joseph Sullivan, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 14-01833 | 02/02/2015 | Claimant(s): Martha Peters, Martha Jo Peters, IRA
Claimant Lawyers(s): Martha Jo Peters
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Sandra L. Malek, Alan Stamm, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | $0 |
| 13-03115 | 01/30/2015 | Claimant(s): Barry Mankowitz, Barry J. Mankowitz, M.D. IRA
Claimant Lawyers(s): Edward A. Paltzik
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Lynne M. Reid-McQueen, Mary Lou McGanney, Louis P. Wagman
Hearing Site: New York, NY
| | $202,961 |
| 13-02530 | 01/29/2015 | Claimant(s): Christopher & Jacqueline Stone
Claimant Lawyers(s): Dave Maxfield
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Columbia, SC
| | $0 |
| 11-04048 | 01/29/2015 | Claimant(s): Susan Lawshe
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Christopher Coppola, Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $0 |
| 13-01544 | 01/29/2015 | Claimant(s): Mary Steinlauf
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Fidelity Brokerage Services LLC, S. Scott Lain, Wendy Liebowitz
Respondent Lawyers(s): John Starnes
Arbitrator(s): Edwin D. Sherman, Mark R. Topper, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02584 | 01/29/2015 | Claimant(s): Tae M. Kim and Young J. Kim
Claimant Lawyers(s): Tae M. Kim
Respondent(s): TD Ameritrade., Investrade Discount Sec. aka Regal Sec.
Respondent Lawyers(s): James J. Vihstadt, Nicholas P. Iavarone
Arbitrator(s): Ezio E. Borchini, Mona Koppel Mitnick, Catherine Esther Bocskor
Hearing Site: Baltimore, MD
| | $0 |
| 14-00382 | 01/29/2015 | Claimant(s): William Allen
Claimant Lawyers(s): Michael C. Keating
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Lisa Shusterman
Hearing Site: Indianapolis, IN
| | $0 |
