| 13-00189 | 09/02/2014 | Claimant(s): Sylvia Herrington
Claimant Lawyers(s): Benjamin P. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Mark Scarr
Hearing Site: Detroit, MI
|  | Expungement |
| 12-02325 | 08/25/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Gary A. Hooker, James D. Murray, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
| | |
| 12-02619 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Dowd
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
| | |
| 13-00900 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Paul Stafford
Respondent Lawyers(s): Paul Edward Stafford
Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton
Hearing Site: Helena, MT
| | |
| 13-00154 | 08/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. E. Craig Doupe, Frederick B. Mueller, Peter R. Day
Hearing Site: Seattle, WA
| | |
| 13-01326 | 08/08/2014 | Claimant(s): Oral Sekendur
Claimant Lawyers(s): Oral Sekendur
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Frederic M. Rizzo, Ralph M. Goren, Michael J. Rappa
Hearing Site: Chicago, IL
| | $0 |
| 14-00689 | 08/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 12-03588 | 08/05/2014 | Claimant(s): Allyson Silverman, Glenn Edelman
Claimant Lawyers(s): August Iorio
Respondent(s): UBS Financial Services Inc., Morgan Stanley
Respondent Lawyers(s): A.J. Borelli, Christine A. Kendrick
Arbitrator(s): Madelon M. Rosenfeld, Mary Lou McGanney, Amy Jill Baranoff
Hearing Site: New York, NY
| | Expungement |
| 13-01237 | 07/25/2014 | Claimant(s): Ramona Wamba
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
| | Expungement |
| 13-01545 | 07/16/2014 | Claimant(s): Gloria Kirby, Beneficiary to the Maynard J. Kirby IRA, Gloria M. Kirby IRA
Claimant Lawyers(s): Robert A. Kantas, Ryan Cook
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): John A. Baynes, Stephen P. Hoffman, James Edwin Jackson
Hearing Site: Columbia, SC
| | Expungement |
