| 18-01198 | 06/04/2019 | Claimant(s): John Turman, Dana Turman TTE of Turman Family Trust B, John Turman TTE of Turman Family Trust A
Claimant Lawyers(s): Michael G. Bolgatz
Respondent(s): Morgan Stanley, Kevin Wolfe, Robert Rius
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Lawrence R. Mills, Clifford A. Threlkeld, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | Expungement |
| 19-00598 | 06/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): John Reynolds
Respondent Lawyers(s): John Stephen Reynolds
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 18-00818 | 06/03/2019 | Claimant(s): John Baker
Claimant Lawyers(s): David Liebrader
Respondent(s): Morgan Stanley, Peter Lewis
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Larry Edmonson, Anita Rae Shapiro, Douglas B. Harris
Hearing Site: Las Vegas, NV
| | Expungement |
| 18-03265 | 05/30/2019 | Claimant(s): Ronald Cole
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Morgan Stanley, J.P. Morgan Securities
Respondent Lawyers(s): Jeremy S. Winer, Thomas J. Cahill
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
| | |
| 19-00505 | 05/23/2019 | Claimant(s): Barbara Zech
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 16-03473 | 05/17/2019 | Claimant(s): Brenda Balok, Stephen Balok
Claimant Lawyers(s): Clinton Marrs
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Worden
Arbitrator(s): Thaddeus J. Tecza, Herbert Liberman, James Mark Eason
Hearing Site: Albuquerque, NM
| | $519,089 |
| 18-04018 | 05/13/2019 | Claimant(s): Alyssa Rakovich
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 17-01766 | 05/03/2019 | Claimant(s): Schneider Family Limited Partnership LLP
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Matthew Broccolo
Arbitrator(s): George W. Harding, Brian W Yee, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
| 18-02489 | 05/01/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Denis O'Leary
Respondent Lawyers(s): Denis Patrick O'Leary
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 18-00112 | 04/24/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Christine L. Stetson, Maryanne M. Esser, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
