| 19-03841 | 12/08/2020 | Claimant(s): Alex Muscati
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Prudential Equity Group, Morgan Stanley, Wachovia Securities, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anthony Paduano, Christopher M. Sacco, Joelle A. Simms, Patricia E. Cowart
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 19-02692 | 11/25/2020 | Claimant(s): Susan Jakab
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): David L. Ruderman, John N. Greer, Roberto Rafael Pinero
Hearing Site: Baltimore, MD
|  | $0 |
| 20-00621 | 11/24/2020 | Claimant(s): Woodford Mooers
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ethan Weinberg
Arbitrator(s): Mimi B. Osiason
Hearing Site: Columbia, SC
| | |
| 20-01299 | 11/20/2020 | Claimant(s): James Ziniel, Joseph Silich
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Larry Evert Carlson
Hearing Site: Chicago, IL
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| 20-00145 | 11/18/2020 | Claimant(s): Warren Rivetz
Claimant Lawyers(s): Amy Beth Bard
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Joseph A. Sack
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 20-00612 | 11/06/2020 | Claimant(s): Adam Rorrer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 15-03140 | 10/30/2020 | Claimant(s): Michael Magno
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Karimu F. Hill-Harvey, Robert E. Anderson, Adam S. King
Hearing Site: Syracuse, NY
| | $0 |
| 18-04302 | 10/26/2020 | Claimant(s): Ricardo San Roman Dunne
Claimant Lawyers(s): Brian Levin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jorge deNeve
Arbitrator(s): Andrew M. Mintzer, Joyce L. Hurley, Edward H. Davis
Hearing Site: Los Angeles, CA
| | $0 |
| 19-02271 | 10/16/2020 | Claimant(s): June Glover
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Abigail Elrod, Jeffery D. Rodgers, Jr., Regina Pepe Martorana
Arbitrator(s): Jeffrey M. Bain, Jane Tam, Anthony Cipiti
Hearing Site: Charleston, WV
| | Settlement |
| 18-03215 | 10/08/2020 | Claimant(s): Susan Packard
Claimant Lawyers(s): Russell D. Duncan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rothenstein
Arbitrator(s): Kathryn Ellen McDonnell, Shelley Simons Korch, Bruce Michael Bettigole
Hearing Site: Washington, DC
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