| 12-02967 | 07/22/2016 | Claimant(s): Edward Heil, Vincent Incopero
Claimant Lawyers(s): Vincent J. Incopero
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski, Mark L Miller, Robert J. Albers
Hearing Site: Chicago, IL
|  | Expungement |
| 15-00624 | 07/22/2016 | Claimant(s): Laura Bell
Claimant Lawyers(s): David Lefkowitz
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Arthur T. Berggren, Lawrence Yaeger, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $625,000 |
| 14-00025 | 07/14/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Max S. Emmer
Respondent(s): Gary Shumate
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): David M. Panko, Robin L. Lewis, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | |
| 15-00610 | 07/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | |
| 14-02663 | 07/06/2016 | Claimant(s): Shannon Nafaa, Estate of Raymond Ryals
Claimant Lawyers(s): John M. Lassiter
Respondent(s): Morgan Stanley, Linda Ryals, Sun America Annuity & Life Insurance Co.
Respondent Lawyers(s): Brian C. Hale, Michael A Wing, Michael K. Brisbin
Arbitrator(s): John G. Manley, Richard J. Clement, Stephen Edgar Eisenbraun
Hearing Site: Birmingham, AL
| | $0 |
| 14-02673 | 06/29/2016 | Claimant(s): Terry D. Johnstone, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Norman S. Nayfach, Nancy A. Yonge, Arocles Aguilar
Hearing Site: Reno, NV
| | Expungement |
| 14-02954 | 06/24/2016 | Claimant(s): Nancy Plum, John W. Plum Trust
Claimant Lawyers(s): John W. Plum
Respondent(s): Dean Trindle, Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce Lewitas, Jennifer R. Willey
Arbitrator(s): Jack A. Helms, Mitchel Weiss, Robert L. Cowles
Hearing Site: Jacksonville, FL
| | Expungement |
| 16-00191 | 06/16/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hld
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Scott Alcus
Respondent Lawyers(s): Scott Patrick Alcus
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
| | |
| 15-00422 | 06/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Bugay
Respondent Lawyers(s): Timothy J. Trager
Arbitrator(s): Marvin B. Karelitz, Steven J. Feldman, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | |
| 14-00829 | 06/15/2016 | Claimant(s): Keith Melton, CUB Melton Properties, Confidential Communications Consultants, H.K.M. Investments., H.K.M. Nevada, LTD, Melton Management., The H. Keith Melton Grantor Trust
Claimant Lawyers(s): Andrew Mytelka, Jeannie Urbani
Respondent(s): Amie Thompson, Kim Isaacson, Morgan Stanley, Paul Shoemaker
Respondent Lawyers(s): Beth A. Black, Daniel D. Hill
Arbitrator(s): Carl Shechter, Lisa Marie Macci, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | $3,586,990 |
