| 12-00507 | 01/14/2013 | Claimant(s): Joanne Johannsen, The Johannsen Family Survivors Trust dtd, The Johannsen Family Trust dtd 10/18/88
Claimant Lawyers(s): David L. Price
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., Morgan Stanley Credit Corporation, Morgan Stanley Home Loans, Morgan Stanley Smith Barney Global Impac
Respondent Lawyers(s): August "Jamie" H. Schupp
Arbitrator(s): Paul D. Gutierrez, Roslyn Terri Mandel, Martin Joel Fassler
Hearing Site: San Francisco, CA
|  | $299,200 |
| 11-01643 | 01/07/2013 | Claimant(s): Lee Kennedy
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Morgan Stanley, Landon Marino, William Coffey
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): George A. Sellnau, James E. Schlottmann, Walter F. Schleyer
Hearing Site: Houston, TX
| | $0 |
| 11-04219 | 01/07/2013 | Claimant(s): Kenneth Carl, Rebecca Carl
Claimant Lawyers(s): Kenneth J. Carl
Respondent(s): John Menefee, Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): Adam Kauff, Julie Thrall Burrow
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | $0 |
| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
| | $0 |
| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
| | $0 |
| 12-02863 | 12/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Laughlin
Respondent Lawyers(s): Thomas Joseph Laughlin
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
| | $0 |
| 12-00658 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Steven Sanders
Respondent Lawyers(s): J. Ryan Kirchoff
Arbitrator(s): James F. Zotter
Hearing Site: Portland, OR
| | $0 |
| 12-01920 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Rafael Calleja
Respondent Lawyers(s): Rafael Antonio Calleja
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
| | $0 |
| 11-00958 | 12/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Chad Samuel
Respondent Lawyers(s): Chad H. Samuel
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, David A. Nixon
Hearing Site: Kansas City, MO
| | $0 |
| 12-01849 | 12/19/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Eric M. Chial, Jonathan Berg, Esq.
Respondent(s): David Manno
Respondent Lawyers(s): David T. Manno
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | $0 |
