| 17-00990 | 08/08/2018 | Claimant(s): John Gherty, M. Anne Gherty
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Randall Johnson
Respondent Lawyers(s): Joseph A. Sack, Joseph W. Anthony
Arbitrator(s): Kerry C. Koep, Steven M. Bialick, Gregory John Peterson
Hearing Site: Minneapolis, MN
|  | $150,410 |
| 16-00776 | 08/07/2018 | Claimant(s): Gwendolyn Denton
Claimant Lawyers(s): Gwendolyn Denton
Respondent(s): Morgan Stanley, Pilar Estrella
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Monroe Mitchel, Ellen J. Abrams, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $0 |
| 17-02406 | 08/07/2018 | Claimant(s): Alan Verkman
Claimant Lawyers(s): Alan S. Verkman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $3,485 |
| 18-01209 | 08/03/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Fuad Habba
Respondent Lawyers(s): Fuad Saad Habba
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
| | |
| 18-00959 | 07/31/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jonathan Chang
Respondent Lawyers(s): Jonathan J. Chang
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 17-00640 | 07/31/2018 | Claimant(s): David Riker, Lynne Baldwin
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Allen Kilik, Monroe Mitchel, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-03091 | 07/27/2018 | Claimant(s): Frank Esposto
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 18-01004 | 07/25/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Mohamed Yassin
Respondent Lawyers(s): Mohamed R. Yassin
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | |
| 17-03486 | 07/24/2018 | Claimant(s): Kathy Sonabend, Sol Sonabend
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 17-02236 | 07/16/2018 | Claimant(s): Leonard Footlik
Claimant Lawyers(s): Brian M. Grossman
Respondent(s): Eleanor Weinstock, Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
