| 17-01987 | 12/14/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Jack A. Helms
Hearing Site: Columbia, SC
| | |
| 15-03238 | 12/13/2018 | Claimant(s): David Caidar, David Caidar Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
|  | $32,710 |
| 17-02770 | 12/11/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Guillermo Valladolid
Respondent Lawyers(s): Guillermo William Valladolid
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
| | |
| 17-03378 | 12/11/2018 | Claimant(s): Kantilal Desai, Nilam Desai
Claimant Lawyers(s): Kantilal P. Desai
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): G. Maynard Green, Edward Bradbury Cloutman, Will Pryor
Hearing Site: Dallas, TX
| | Dismissed by Rule 12504 |
| 18-01710 | 11/27/2018 | Claimant(s): John Burke
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 17-01581 | 11/20/2018 | Claimant(s): Elizabeth Thomas
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Diane M. Perry, William Kent Brown, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-00616 | 11/15/2018 | Claimant(s): David Stack
Claimant Lawyers(s): Sarah Sawyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Jane Tam
Hearing Site: Baltimore, MD
| | |
| 18-01106 | 11/15/2018 | Claimant(s): Thomas Jordan
Claimant Lawyers(s): David M. White
Respondent(s): Morgan Stanley, Michael Goldberg, Zachary Goldberg
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Francis Carling
Hearing Site: New York, NY
| | $0 |
| 18-00888 | 11/13/2018 | Claimant(s): Alexander Sugar
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Morgan Stanley, J.P. Morgan Securities
Respondent Lawyers(s): Joseph A. Sack, Thomas J. Cahill
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
| | |
| 17-03320 | 11/07/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): John Fitzgerald
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): James T. McLaughlin, Joseph H. Danziger, Peter George Erdely
Hearing Site: Philadelphia, PA
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