| 21-02824 | 04/12/2024 | Claimant(s): Charlie Meredith
Claimant Lawyers(s): David A. Welling
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison
Hearing Site: San Diego, CA
|  | Expungement |
| 21-00524 | 03/24/2023 | Claimant(s): Tyron Smith
Claimant Lawyers(s): Susan J. Foster
Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen
Hearing Site: Dallas, TX
| | Expungement |
| 21-02801 | 08/31/2022 | Claimant(s): Trevor Siani
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Comerica Securities
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 17-01116 | 06/29/2018 | Claimant(s): Wavecrest Securities LLC
Claimant Lawyers(s): Amy Conners
Respondent(s): Charles Constant
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): William Cavalier, Edward J. Lynch, Eric Ross Cromartie
Hearing Site: Dallas, TX
| | |
| 16-00647 | 05/25/2018 | Claimant(s): John Barry Glenn, Nancy P. Glenn
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): Richard F. Dole, Malcolm Edwin Whittaker, Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 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 |
| 15-02289 | 04/11/2017 | Claimant(s): Roberto Ramon Midence Revocable Living
Claimant Lawyers(s): D. Daxton White
Respondent(s): Morgan Stanley, RBC Capital Markets LLC
Respondent Lawyers(s): John P. Kincade, Joseph C. Coates
Arbitrator(s): Maryanne M. Esser, Amy Lynn Mitchell, Shannon Lyn Mays
Hearing Site: Houston, TX
| | Expungement |
