| 18-01209 | 08/03/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Fuad Habba
Respondent Lawyers(s): Fuad Saad Habba
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
| | |
| 17-03091 | 07/27/2018 | Claimant(s): Frank Esposto
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 17-03361 | 07/18/2018 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 17-03089 | 07/17/2018 | Claimant(s): Bernard Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
| | |
| 17-03218 | 07/11/2018 | Claimant(s): Brian Marzulli
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
| | |
| 16-03717 | 06/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Pellegrino
Respondent Lawyers(s): Darryl J. Bouganim
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 17-00577 | 06/01/2018 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Dave Rao
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 17-01624 | 03/16/2018 | Claimant(s): Mary Wright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Alan S. Brodherson, Nicholas Y. Lin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Denver, CO
| | |
| 17-00544 | 02/26/2018 | Claimant(s): Anthony Bavedas
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Prudential Equity Group, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Megan Christensen
Arbitrator(s): Khadijah B. Matin, Zung T. Nguyen
Hearing Site: New York, NY
| | |
| 17-01506 | 02/26/2018 | Claimant(s): Jarrod Biebel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Michael Naccarato
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
