| 13-03542 | 06/16/2015 | Claimant(s): Steve Hawley and Susan M. Hawley
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Douglas J. Nesbit, Jeffrey A. Schuh, Grant D. Sanders
Hearing Site: Minneapolis, MN
|  | Expungement |
| 13-00880 | 06/11/2015 | Claimant(s): Chris Ethridge, Jesse Ethridge, Mark Shapley, Jesse C. Ethridge, IRA, Mississippi Sports Medicine 401(K) Plan, Amy Hatchett and Brad Hatchett, JT TEN
Claimant Lawyers(s): Frank "Kim" Breese, Joseph C. Peiffer, Judson M. Lee
Respondent(s): Fred Brister, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Patrice L. Stewart, Stephen H. Biller, James L. Warren
Hearing Site: Jackson, MS
| | Expungement |
| 14-00415 | 06/09/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Willard Kelly
Respondent Lawyers(s): J Thomas Jones
Arbitrator(s): James P. McCrocklin, Jeffrey M. Bain, John Andrew Johnson
Hearing Site: Nashville, TN
| | |
| 14-01358 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): William Crumrine
Respondent Lawyers(s): William Braden Crumrine
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 15-00146 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Michael Spinali
Respondent Lawyers(s): Michael Luciano Spinali
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 15-00194 | 06/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Doug Hyman
Respondent(s): Lloyd Clunie
Respondent Lawyers(s): Lloyd Neale Clunie
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | |
| 14-02722 | 05/29/2015 | Claimant(s): John Nardone, Morgan Stanley
Claimant Lawyers(s): Chan H. Nam
Respondent(s): Elizabeth Lastowski
Respondent Lawyers(s): Christopher Jones
Arbitrator(s): Jim Geiger, Stephen T. Mayhew, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02831 | 05/26/2015 | Claimant(s): Joyce Mayzell
Claimant Lawyers(s): Kenneth Alan Eisner
Respondent(s): Morgan Stanley, Russell Bassett
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Herbert Branitsky, Andrea R. Jacobs, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 14-01261 | 05/26/2015 | Claimant(s): Damon O'Rear, Judy O'Rear, Richard O'Rear, Robert O'Rear, O'Rear Grantor Retained Trust
Claimant Lawyers(s): Edwin J. Schklar, Maggie M. Heim
Respondent(s): Christopher Scarborough, Citigroup Global Markets., Herschell Scarborough, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed, David G. Russell
Arbitrator(s): Lita S Menkin, Ronelle W. Genser, Rudolph Andrew Bata
Hearing Site: Atlanta, GA
| | $0 |
| 12-02499 | 05/21/2015 | Claimant(s): Anne Unanue, Carlos Unanue, Francisco Unanue, Jorge Unanue, Jose Rivero, The Anne Marie Unanue Revocable Trust
Claimant Lawyers(s): Dennis A. Nowak
Respondent(s): Jorge Carreras, Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Steven Gerard Goerke, Kevin A. Llinas, Paul J. Burkhart
Hearing Site: Miami, FL
| | $0 |
