| 12-03180 | 12/30/2013 | Claimant(s): Vincent Romano
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas F. Hurka
Arbitrator(s): Michael S. Matek, Michael I. White, Loren H. Newman
Hearing Site: Chicago, IL
| | $0 |
| 12-03711 | 12/20/2013 | Claimant(s): Barbara Gutman U/A/D 03-09-2000
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy Atkins
Arbitrator(s): Marie G. Peterson
Hearing Site: Ft. Lauderdale, FL
|  | $0 |
| 12-00291 | 12/19/2013 | Claimant(s): Anita Apt, Estate of Nellie Apt, The Nellie Apt Revocable Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Shelley Teitelbaum, Peter A. Goldman, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $0 |
| 12-04144 | 12/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick Londrigan
Respondent Lawyers(s): Thomas F. Londrigan
Arbitrator(s): Tim V. Young, Brian T. Carter, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | $0 |
| 10-01969 | 12/09/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Robert Giusti
Respondent Lawyers(s): Robert Giusti
Arbitrator(s): Joseph J. Arata, Paul Kanischak, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 13-02195 | 12/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicholas Perugino
Respondent Lawyers(s): Nicholas L. Perugino
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | $0 |
| 11-04820 | 12/06/2013 | Claimant(s): M. Otis, Otis Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Robert J. Ruben, Michael John Florio, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | $0 |
| 13-01921 | 12/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Yao
Respondent Lawyers(s): Peter Yao
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $0 |
| 12-02472 | 12/04/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Terry Williamson
Respondent Lawyers(s): D. Craig Brinker
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | $0 |
