| 15-00777 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA
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| 15-01561 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Beverly Carroll
Respondent Lawyers(s): Robert A. W. Boraks
Arbitrator(s): James R. Stirn
Hearing Site: Washington, DC
| | |
| 16-02657 | 01/23/2017 | Claimant(s): Morgan Stanley, MSSB FA Note Holdings LLC
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Brian Castillo
Respondent Lawyers(s): Brian Richardson Castillo
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 15-03309 | 01/18/2017 | Claimant(s): Laudine L. Ploetz, 1985 Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ryan G. Fant
Arbitrator(s): Barry Goldman, Jeffrey W. Jacobs, Alain Frecon
Hearing Site: Minneapolis, MN
|  | $0 |
| 16-01859 | 01/12/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Brian Sak
Respondent Lawyers(s): Brian Carey Sak
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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| 15-03342 | 01/06/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Steven Kajala
Respondent Lawyers(s): Jesse H. Kibort
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
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| 16-01253 | 01/06/2017 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Brian Lynch
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): John E. Felch, Mary Jane Walk, John B. Taulane
Hearing Site: Philadelphia, PA
| | |
| 14-03228 | 12/22/2016 | Claimant(s): William Dudziak, Nicole Dudziak, Paige Dudziak, Zach Dudziak, Emily Elizabeth McClintock Trust, William Edwin Dudziak Trust
Claimant Lawyers(s): Jeffrey Sonn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tim Atkins
Arbitrator(s): Edward R. Niederriter, Donald Theodore Ryce, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-01601 | 12/22/2016 | Claimant(s): Ann MacLean, Donald MacLean, Ann MacLean IRA, Donald MacLean IRA
Claimant Lawyers(s): Howard Rosenfield, Joshua Kons
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Ian S. Greig
Hearing Site: Tampa, FL
| | $37,531 |
| 16-01791 | 12/20/2016 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Joe Gehring
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Wein
Respondent Lawyers(s): Louis M. Lagalante, Michelle A. Liebesman
Arbitrator(s): Morton S. Bunis, Regina Irena Arnold Mullen, Charles Francis Barr
Hearing Site: New York, NY
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