| 17-02743 | 05/10/2018 | Claimant(s): Michael Warr
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | |
| 17-01125 | 05/09/2018 | Claimant(s): David Begala
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 16-00101 | 05/08/2018 | Claimant(s): Carolyn Hunt-Monro
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Ronald G. Guida
Hearing Site: Denver, CO
|  | Expungement |
| 17-02555 | 04/19/2018 | Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens
Claimant Lawyers(s): Al Van Kampen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $42,093 |
| 16-02653 | 02/28/2018 | Claimant(s): Elaine Sommer, Richard Sommer, Elaine and Richard Sommer Joint Account, Elaine Sommer Revocable Trust, Richard Sommer Trust U/A DTD 1/13/95
Claimant Lawyers(s): Robert C. Harris
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Joseph Benalt, Donald Theodore Ryce, Alvin Abraham Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-03458 | 12/21/2017 | Claimant(s): Joyce Paley, Sheldon Paley
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Alison Gardner, Morgan Stanley
Respondent Lawyers(s): Katherine C. Donlon, Kimberly J. Gustafson
Arbitrator(s): Edith N. Dinneen, Maurice M. Feller, Christopher William Crowley
Hearing Site: Tampa, FL
| | Expungement |
| 17-00854 | 09/06/2017 | Claimant(s): Ana Blatman
Claimant Lawyers(s): Ana Blatman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | $213 |
| 16-03138 | 08/29/2017 | Claimant(s): Derek Copeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | Expungement |
| 16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
