| 15-02864 | 08/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Karimah Karah
Respondent Lawyers(s): Robert Diskint
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 15-00748 | 08/02/2016 | Claimant(s): Charles Mugrauer
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Herb Schwartz, Robert Sachs Mandelson, Shirish Gupta
Hearing Site: San Francisco, CA
|  | Expungement |
| 15-00407 | 07/27/2016 | Claimant(s): David Cross, Roberta Cross
Claimant Lawyers(s): Jeffrey L. Gaffney, Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Timothy N. Will
Arbitrator(s): William W. Haskell, Michael Lancaster Garcia, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | Expungement |
| 15-00885 | 07/26/2016 | Claimant(s): Roscoe Goehring, Sally Goehring
Claimant Lawyers(s): Sheila Hollander
Respondent(s): Ameriprise Financial Services., Randall Samson, Scott Esco
Respondent Lawyers(s): Chad Weaver, Elizabeth Poletti, Timothy N. Will
Arbitrator(s): Isidoro Berkman, Sterling N. Frost, Michael Craig Butterworth
Hearing Site: San Francisco, CA
| | Expungement |
| 15-00422 | 06/15/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Philip Bugay
Respondent Lawyers(s): Timothy J. Trager
Arbitrator(s): Marvin B. Karelitz, Steven J. Feldman, Yvonne Brathwaite Burke
Hearing Site: Los Angeles, CA
| | |
| 14-03277 | 04/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Gary Polakoff
Respondent Lawyers(s): Sharron E. Ash
Arbitrator(s): Kenneth Andrew Klinko
Hearing Site: San Diego, CA
| | |
| 15-00233 | 01/22/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Gannon
Respondent Lawyers(s): John F. Gannon
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
| | |
| 13-02751 | 10/21/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Travis Shannon
Respondent Lawyers(s): Travis Sherwood Shannon
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | |
| 14-00028 | 10/09/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steve Sung
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, A. Joel Klein, Michael M. Perrigue
Hearing Site: Los Angeles, CA
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