| 21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore
Claimant Lawyers(s): Patricia A. Gremore
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors.
Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
|  | Dismissed by Rule 12206 |
| 21-02242 | 02/11/2022 | Claimant(s): Roger Roach
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Noah Caruso
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | $0 |
| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
| | Expungement |
| 21-00147 | 02/08/2022 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Erika Binnix
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy, Miles D. Hart, Todd A. Holleman
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 20-03416 | 02/01/2022 | Claimant(s): Melinda Whitman
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Scott Swaylik
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s):
Hearing Site: Boston, MA
| | $150,000 |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02497 | 01/19/2022 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Boston, MA
| | |
| 20-02293 | 01/10/2022 | Claimant(s): Nermin Khalil
Claimant Lawyers(s): John A. Mangones
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William A. Barrett, Gerard S. Marsan, George Weston Mann
Hearing Site: Boston, MA
| | |
| 21-00393 | 01/07/2022 | Claimant(s): John Mustillo
Claimant Lawyers(s): Michael Hill
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-03148 | 12/22/2021 | Claimant(s): Scort, C.A.
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley, Paquita Holder
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh
Hearing Site: Boca Raton, FL
| | Expungement |
