| 16-01186 | 08/18/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Manoj Pataudi Mudgal
Respondent Lawyers(s): Manoj Pataudi Mudgal
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 12-03077 | 08/12/2016 | Claimant(s): Debra Quinn, P. Quinn, P. Daniel Quinn and Debra R. Quinn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Gary M. Landau, Daniel P. Lund, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
|  | Expungement |
| 15-02987 | 08/10/2016 | Claimant(s): Caren Kramer, Lauren Kramer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): James J. Fishman
Hearing Site: New York, NY
| | Expungement |
| 13-03401 | 08/08/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Louis Dworsky
Respondent Lawyers(s): Brandon S. Neuman
Arbitrator(s): Stephen P. Hoffman, Donald Cornelius Morrison, Charles S. Clayton
Hearing Site: Raleigh, NC
| | |
| 15-02864 | 08/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Karimah Karah
Respondent Lawyers(s): Robert Diskint
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | |
| 15-02710 | 08/05/2016 | Claimant(s): Ronald Judd
Claimant Lawyers(s): Michael R. Schmidt
Respondent(s): Morgan Stanley, Max Van Benschoten, Ronny Bass
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Lisa Shusterman, Linda M. Foster-Wells, Gerald W. Hepp
Hearing Site: Cincinnati, OH
| | Expungement |
| 15-03205 | 08/02/2016 | Claimant(s): Todd Kissel
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, Kathryn D. Perreault
Arbitrator(s): Howard J. Stiefel, Dolores D. Balsamo, Kenneth Paul Price
Hearing Site: New York, NY
| | |
| 14-01088 | 08/01/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Bruce Lewitas, Joseph Vallo
Respondent(s): Dale Cebert
Respondent Lawyers(s): Peter B. King
Arbitrator(s):
Hearing Site: Orlando, FL
| | |
| 11-01629 | 07/25/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Lee Bloom, Richard Dwyer
Respondent Lawyers(s): Rogge Dunn
Arbitrator(s): John P. Cullem, Frank William Savino, A.J. Seier
Hearing Site: Orlando, FL
| | |
| 16-00054 | 07/25/2016 | Claimant(s): David McCormick, Ellen McCormick
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Barry Goldman
Hearing Site: Pittsburgh, PA
| | $0 |
