| 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
| | $0 |
| 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
| | $0 |
| 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
|  | $0 |
| 11-03247 | 05/07/2014 | Claimant(s): Bradford Underdahl
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William J. Brack, Chad Anthony Franks
Hearing Site: San Diego, CA
| | $0 |
| 13-02817 | 05/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Joseph Sanchis
Respondent Lawyers(s): Joseph J. Sanchis
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | $0 |
| 11-00691 | 05/06/2014 | Claimant(s): Steven Weber, Kern Family Intervivos Trust DTD 8/9/00
Claimant Lawyers(s): Christopher Kern, Steve Weber
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Benjamin F. Breslauer, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00801 | 04/29/2014 | Claimant(s): Patricia Whitelock
Claimant Lawyers(s): Stephen R. Mahler
Respondent(s): Gregory Mowrer, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Stanley M. Ulanoff, David S. Billet, Lloyd H. Slomanson
Hearing Site: New York, NY
| | $0 |
| 13-01093 | 04/28/2014 | Claimant(s): James Cohen
Claimant Lawyers(s): James D. Cohen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Julian F. Santos, Morton S. Bunis, Joseph H. Cerame
Hearing Site: Newark, NJ
| | $50,000 |
| 12-04345 | 04/25/2014 | Claimant(s): Austin Family Trust
Claimant Lawyers(s): Gregory Austin
Respondent(s): Edwin Stanton, Morgan Stanley
Respondent Lawyers(s): Melissa Muehfeld
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $19,148 |
| 10-00757 | 04/23/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Jeffrey Sullivan, John Lang, Peter Lang, Roman Ciosek, Steven Ayer, Hightower Securities
Respondent Lawyers(s): Sharron Ash
Arbitrator(s): Richard S. Peskin, William P. Laino, Steven J. Brill
Hearing Site: New York, NY
| | $0 |
