| 13-00811 | 06/18/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Leinwol
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 11-01964 | 06/16/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan Jefferbaum Beck, Robert H. Nelson, Daniel P. Lund
Hearing Site: Jacksonville, FL
| | |
| 13-00717 | 06/13/2014 | Claimant(s): Naveed Malik, Sadaf Malik
Claimant Lawyers(s): James T. Tran, Jessica Vasquez
Respondent(s): Andrew Black, Morgan Stanley, Michael Gagliardi
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert R. Wolf, Jeffrey R. Jury, Stephen Edgar Eisenbraun
Hearing Site: New Orleans, LA
|  | $0 |
| 13-00785 | 06/09/2014 | Claimant(s): Jeanette Brown, Lowell Brown
Claimant Lawyers(s): Jeanette S. Brown
Respondent(s): Aurielle Nelsen, Donald Davis, Elisabeth Kratka, Joseph Gilbert, Morgan Stanley, Nathan Dilts, Robert Perry, Stephen Suzuki, Steven Easler, Tammy D'Agostino
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Kenneth E. Owen, Gerald F. Corrigan, David Paul Beauvais
Hearing Site: Los Angeles, CA
| | $4,430 |
| 13-02752 | 06/03/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 12-00159 | 05/23/2014 | Claimant(s): Jessica Clarke, IRA
Claimant Lawyers(s): Joseph Peiffer
Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt
Respondent Lawyers(s): George C. Freeman, Joseph C. Coates
Arbitrator(s): Gloria J Liddell, Fred M. Ridolphi, Kenneth W. Shelley
Hearing Site: Jackson, MS
| | $150,600 |
| 11-02484 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 13-01217 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Nicholas Ragone
Respondent Lawyers(s): Kimberly Kalmanson
Arbitrator(s): Stanley M. Ulanoff, William E. Nuckel, Stewart E. Winner
Hearing Site: New York, NY
| | |
| 12-03328 | 05/12/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Hines
Respondent Lawyers(s): Jonathan Polland
Arbitrator(s): Laurie E. Law, James John Jurinski, Richard Frederick Church
Hearing Site: Portland, OR
| | |
| 12-02542 | 05/09/2014 | Claimant(s): Robert Reynolds
Claimant Lawyers(s): David J. Stone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Jim Geiger, Thomas B. Corey, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | Expungement |
