| 08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Gill
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | |
| 10-01021 | 03/06/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): James Kingsbury
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Christine Costigan
Hearing Site: New York, NY
| | |
| 10-02524 | 03/07/2011 | Claimant(s): Leonard Massello
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert Harris
Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
|  | $259,400 |
| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
| | $91,129 |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 07-00922 | 10/21/2008 | Claimant(s): Chatsworth Securities
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): The GMS Group
Respondent Lawyers(s): Robin C. Tarr
Arbitrator(s): Barry Quint, William E.S. Browning, Kelly M. Lonergan
Hearing Site: Hartford, CT
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