| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
| | $0 |
| 12-01545 | 09/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Allen
Respondent Lawyers(s): David L. Allen
Arbitrator(s): Peter D. Brennan
Hearing Site: San Diego, CA
| | $0 |
| 10-04765 | 09/14/2012 | Claimant(s): Craig Dyas, Jacqueline Dyas
Claimant Lawyers(s): Hugh N. Lyle
Respondent(s): John Ross, Morgan Stanley, Rodney Fallin
Respondent Lawyers(s): Christine A. Kendrick, Donald R. Littlefield
Arbitrator(s): Roland D. Freeman, C. Sumpter Logan, Robert Jerry Strader
Hearing Site: Dallas, TX
|  | $0 |
| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
| | $0 |
| 10-01677 | 09/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | $0 |
| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 12-01595 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Francis Bice
Respondent Lawyers(s): Francis Xavier Bice
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 12-01187 | 09/07/2012 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 11-04409 | 09/07/2012 | Claimant(s): The Bachman Living Trust
Claimant Lawyers(s): Richard P. Bachman
Respondent(s): John Cumbow, Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): David M. Levine
Hearing Site: Ft. Lauderdale, FL
| | $10,000 |
| 10-01078 | 09/06/2012 | Claimant(s): Donald Aronowitz
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bernard Kornmehl
Arbitrator(s): James W. Geiger, Gustavus L. Pearthree, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
