| 20-00795 | 07/07/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Joseph Likens
Respondent Lawyers(s): Joseph Alan Likens
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
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| 20-00144 | 06/10/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Terrence Diehl
Respondent Lawyers(s): Terrence Jeffrey Diehl
Arbitrator(s): Jim Geiger
Hearing Site: Syracuse, NY
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| 16-03516 | 10/12/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Terrence Puricelli
Respondent Lawyers(s): Bryan P. Cavanaugh
Arbitrator(s): Michael L. Lyons, Jonathan B. Gilbert, David E. Bailey
Hearing Site: St. Louis, MO
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| 16-00314 | 03/07/2017 | Claimant(s): Beverly Carroll
Claimant Lawyers(s): Robert A.W. Boraks
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): David J. Sensenig
Arbitrator(s): Christopher M. McMurray, Michael R. Snow, Olivia Milbank Farrar
Hearing Site: Washington, DC
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| 15-01561 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Beverly Carroll
Respondent Lawyers(s): Robert A. W. Boraks
Arbitrator(s): James R. Stirn
Hearing Site: Washington, DC
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| 13-03401 | 08/08/2016 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Louis Dworsky
Respondent Lawyers(s): Brandon S. Neuman
Arbitrator(s): Stephen P. Hoffman, Donald Cornelius Morrison, Charles S. Clayton
Hearing Site: Raleigh, NC
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| 15-00072 | 03/09/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Smith
Respondent Lawyers(s): Christopher Ray Smith
Arbitrator(s): Nigel W. Sadd, James C. Hoover, Robert N. Kohn
Hearing Site: Birmingham, AL
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| 14-00986 | 02/23/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Brandon Neal
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Amelia F. Adams, Anthony G. Belak, Martin Augustus Graf
Hearing Site: Louisville, KY
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| 12-01802 | 08/07/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Robert White
Respondent Lawyers(s): John E. Sutherland
Arbitrator(s): B. John Dill, David J. Kaufman, Carol Di Natale
Hearing Site: Boston, MA
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| 14-01207 | 07/21/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Kenneth Scott Walters
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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