| 18-00614 | 11/07/2018 | Claimant(s): David Stack
Claimant Lawyers(s): Sarah Sawyer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Janet Thomas Johnson
Hearing Site: Baltimore, MD
| | |
| 18-00916 | 11/07/2018 | Claimant(s): Brian Clark
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeremy S. Winer, Sarah K. Yates
Arbitrator(s): Paul Allan Massaro
Hearing Site: Newark, NJ
| | |
| 17-01670 | 11/05/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): David Cote
Respondent Lawyers(s): David John Cote
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 17-01650 | 10/25/2018 | Claimant(s): Stephen Whitman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Jeffrey S. Jacobi
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
| | |
| 18-02231 | 10/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Robert Fantozzi
Respondent Lawyers(s): Robert Paul Fantozzi
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 16-02732 | 10/19/2018 | Claimant(s): Mark Donofrio, Estate of Harry Stebbing, Priscilla Donofrio
Claimant Lawyers(s): Mark Donofrio
Respondent(s): Morgan Stanley, Patrick Henry, Steven Brettler
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Laura A. Kaster
Hearing Site: Philadelphia, PA
|  | $1,115 |
| 18-01962 | 10/16/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s): Alexander Jones
Respondent Lawyers(s): Alexander Clark Jones
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Charlotte, NC
| | |
| 18-02213 | 10/11/2018 | Claimant(s): Jeffrey Leach
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 18-00174 | 10/05/2018 | Claimant(s): John Scott
Claimant Lawyers(s): David W. Erb
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 16-03671 | 10/05/2018 | Claimant(s): Frank Meyers, Meyers FLP, Kepner Plastics Profit Sharin Plan, Frank Meyers Family Trust, Meryl Lee on behalf of Calle Mayor Trust
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Holly Banafsheh, Owen Frances
Hearing Site: Los Angeles, CA
| | Expungement |
