| 20-03591 | 05/26/2022 | Claimant(s): Carlos Tapia Sanchez
Claimant Lawyers(s): Burt Newsome
Respondent(s): Morgan Stanley, Francisco Valenzuela
Respondent Lawyers(s): Francisco Javier Valenzuela, Patricia V. Waterkotte
Arbitrator(s): Timothy J. Kroll, Ronald Stewart Ripley, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
|  | $330,000 |
| 21-02701 | 05/16/2022 | Claimant(s): Robert Iannazzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
| 20-01548 | 05/13/2022 | Claimant(s): The JZ Family Trust U/A DTD 01/30/2013
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronak V. Patel
Arbitrator(s): Lawrence R. Maxwell, Robert L Williamson, Ross B. Russell
Hearing Site: Dallas, TX
| | Expungement |
| 18-03388 | 05/12/2022 | Claimant(s): Todd Kalish
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Jeffrey M. Bain, Karl Strohbehn, Marshall Alton Bennett
Hearing Site: Cleveland, OH
| | |
| 17-00359 | 05/10/2022 | Claimant(s): Steven Wyatt
Claimant Lawyers(s): Louis H. Watson
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney Financing
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Langfred W. White, Ian S. Greig, Robert E. Graves
Hearing Site: Jackson, MS
| | |
| 21-01362 | 05/05/2022 | Claimant(s): Dolores Mitchell
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Morgan Stanley, Royal Alliance Associates.
Respondent Lawyers(s): Amanda L. Parisi, James V. Noblett
Arbitrator(s): Robert J. Miller, Brian John Gallagher, John Warner Lowe
Hearing Site: New York, NY
| | |
| 21-00507 | 04/14/2022 | Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership
Claimant Lawyers(s): William Mount
Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle
Hearing Site: Houston, TX
| | Expungement |
| 20-00009 | 04/14/2022 | Claimant(s): Janet Schmitz, John Schmitz
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Edward R. Niederriter, Will Murphy, Kevin A. Llinas
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02733 | 04/13/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Izhar Shefer
Respondent Lawyers(s): Nera Shefer
Arbitrator(s): Susanne J. Hollander, Lawrence Robert Gould, Joseph Michael Librie
Hearing Site: Miami, FL
| | |
| 20-03312 | 04/13/2022 | Claimant(s): Clinton Anderson
Claimant Lawyers(s): Christopher W. Patton
Respondent(s): Blair Horne, Morgan Stanley
Respondent Lawyers(s): John Bersin
Arbitrator(s): Andrea U. Calve, Lawrence R. Maxwell, Will Pryor
Hearing Site: Dallas, TX
| | $211,810 |
