| 16-01949 | 08/03/2017 | Claimant(s): Ellen Robertson
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Morgan Stanley, James Harvey
Respondent Lawyers(s): Jeffrey Palmer
Arbitrator(s): Robert C. Denenberg, David A. Schuler, James Douglas Haigh
Hearing Site: Dallas, TX
|  | $425 |
| 16-02368 | 07/28/2017 | Claimant(s): Janet Russ, Janet E. Russ Trust
Claimant Lawyers(s): Bruce R Heurlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-02711 | 07/25/2017 | Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 16-03327 | 07/14/2017 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael McGraw
Respondent Lawyers(s): Michael James McGraw
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-01568 | 07/13/2017 | Claimant(s): Louis Falvo
Claimant Lawyers(s): Peter J. Glennon
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Michael P. Hennigan, Peter A.P. Dunlop, Paul Tichauer
Hearing Site: Buffalo, NY
| | |
| 16-02472 | 07/11/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Daniel Gunderson
Respondent Lawyers(s): Daniel J. Gunderson
Arbitrator(s): Arthur L. Tepper
Hearing Site: Dallas, TX
| | |
| 16-01474 | 07/10/2017 | Claimant(s): Peter DeMarco
Claimant Lawyers(s): William K. Flynn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Columbus, OH
| | Expungement |
| 14-01598 | 07/07/2017 | Claimant(s): Allan Yarkin, Hank Boyce
Claimant Lawyers(s): Allan M. Lerner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tina Winer
Arbitrator(s): Alice J. Johnson, Robert J. Bender, William John Kattula
Hearing Site: Boca Raton, FL
| | |
| 14-03506 | 06/27/2017 | Claimant(s): Barbara Dean
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Leah A. Murray, Michael L. Lyons, A.J. Seier
Hearing Site: St. Louis, MO
| | $0 |
