| 12-02287 | 12/03/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Alan Mann
Respondent Lawyers(s): David Liebrader
Arbitrator(s): A. Joel Klein, Paul E. Dahlman, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | |
| 11-03225 | 12/03/2014 | Claimant(s): Helen Edgerton
Claimant Lawyers(s): Robert G. Rikard
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Charles F. Boufford, Richard E. Miley, Donald John Andres
Hearing Site: Columbia, SC
|  | Expungement |
| 12-04190 | 12/03/2014 | Claimant(s): Elaine Kreda Revocable Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Kirtley M. Thiesmeyer, David L. Moran, Dale G. Higer
Hearing Site: Las Vegas, NV
| | Expungement |
| 13-01677 | 12/01/2014 | Claimant(s): Patrick Delaney
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Elizabeth Smith, Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $69,765 |
| 14-00190 | 11/26/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Kim
Respondent Lawyers(s): Peter H. Kim
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
| | |
| 12-03314 | 11/25/2014 | Claimant(s): Egerton Bullock
Claimant Lawyers(s): Ann C. Northern
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Frank M. Suttell, Judith P. Brooks, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 13-01720 | 11/24/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Gillelen
Respondent Lawyers(s): Mark Calvin Gillelen
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 12-02329 | 11/21/2014 | Claimant(s): Byrde Haspel, Byrde Berenson Haspel Life Ins. TR # 1
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): Morgan Stanley, Stephen Loeb
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Arthur W. Pigott, Donald K. Eckhardt, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | Expungement |
| 13-00727 | 11/19/2014 | Claimant(s): Betty Perrine, John Perrine
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Gary J. Leshaw, Deborah A. Jackson, Robert A. Dean
Hearing Site: Atlanta, GA
| | Expungement |
| 14-00563 | 11/18/2014 | Claimant(s): Scott Weber
Claimant Lawyers(s): Brian D. Elias
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert A. Sauerberg, Kathy N. Novick, Carolyn E. Moore
Hearing Site: Boca Raton, FL
| | |
