| 16-01798 | 11/17/2017 | Claimant(s): Barry Raymond, Leanne Raymond, The Barry Raymond 2000 Trust, The Leanne Raymond 2000 Trust, The Raymond Family 2000 Insurance Trust
Claimant Lawyers(s): Lawrence Hornsby
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Ronald Garrison
Respondent Lawyers(s): Roxanne Fixsen
Arbitrator(s): Ian S. Greig, Colleen Rotella, John H. Komoroske
Hearing Site: Orlando, FL
|  | Expungement |
| 17-01490 | 11/14/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): David Olson
Respondent Lawyers(s): David Warren Olson
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
| | |
| 17-01784 | 11/09/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Hanieh Sadat Hendi
Respondent Lawyers(s): Hanieh Sadat Hendi
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
| | |
| 16-03689 | 11/08/2017 | Claimant(s): David Wein, David Wein Trust dated 01/25/2006, Hollis Wein Trust
Claimant Lawyers(s): Alan R. Dolinko
Respondent(s): Morgan Stanley, Philipp Weisskopf
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 16-00696 | 11/07/2017 | Claimant(s): Helen Robillard, Robert Robillard, Robert E. Robillard CGM Custodian
Claimant Lawyers(s): Charlene E. Philbrook
Respondent(s): Morgan Stanley, James Olson, The Breakwater Group
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): B. John Dill
Hearing Site: Augusta, ME
| | $0 |
| 16-00705 | 11/02/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Pat Folan
Arbitrator(s): Cheryl Marie Allain-Mee, Ellen Joan Fenten, Robin Z. Mathes
Hearing Site: Los Angeles, CA
| | |
| 10-04094 | 11/01/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray, Thomas J. Momjian
Respondent(s): Daniel Thompson, Stephen Walker
Respondent Lawyers(s): Gary Green, Thomas J. Momjian
Arbitrator(s): Guillermo L. Bosch, John T. Hausladen, Roger Frazier Cox
Hearing Site: Philadelphia, PA
| | |
| 17-01802 | 11/01/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 16-02514 | 10/30/2017 | Claimant(s): Judith Spiniello
Claimant Lawyers(s): Ronald A. Berutti
Respondent(s): Morgan Stanley, Robert Cerasia
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Patrick J. Howley, Joseph H. Cerame, Richard C. Antonelli
Hearing Site: Newark, NJ
| | $20,000 |
| 17-00784 | 10/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lawrence Palme
Respondent Lawyers(s): Lawrence Edward Palme
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
