| 11-01360 | 11/22/2011 | Claimant(s): Cheryl Horrigan-Happy
Claimant Lawyers(s): Fred H. Freeman
Respondent(s): Joseph Girardin, Morgan Stanley
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
|  | $163 |
| 09-02465 | 04/20/2011 | Claimant(s): Iris Seeley, Paul Seeley
Claimant Lawyers(s): Paul D. Malmfeldt
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Gregory B. Simon
Arbitrator(s): Jerome Stern, Jack J. Herman, G. Marshall Abbey
Hearing Site: Chicago, IL
| | $0 |
| 10-00169 | 06/29/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): William Bartok
Respondent Lawyers(s): William John Bartok
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
| | |
| 09-04146 | 05/19/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Gordon Lewis
Respondent Lawyers(s): Gordon Patrick Lewis
Arbitrator(s): Mary Curran, Alvin L. Fishman, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 08-02415 | 01/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Todd Funk
Respondent Lawyers(s): Sherry Coley
Arbitrator(s): Gregory G. Wille, Florence Z. Enders, Scott Stauffer
Hearing Site: Milwaukee, WI
| | |
| 08-02011 | 08/10/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Ronald Rigsby
Respondent Lawyers(s): Ronald L. Rigsby
Arbitrator(s): Richard M. Leigh, Barton J. Brewer, James H. De Meules
Hearing Site: Los Angeles, CA
| | |
| 08-00203 | 06/29/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Bob Boyd, Winford Bradley
Respondent Lawyers(s): Christopher B. Trowbridge, Molly A. Manning
Arbitrator(s): William E. Hartsfield, Martha Z. Ralstin, Jon Leonard Weinstein
Hearing Site: Dallas, TX
| | |
| 08-00947 | 06/26/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Mitchell Johnson
Respondent Lawyers(s): Terrance J. Slominski
Arbitrator(s): James A. Bishop, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Portland, OR
| | |
| 07-02262 | 12/03/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Mark Adam
Respondent Lawyers(s): Jeffrey A. Sellers
Arbitrator(s): Anthony Vitanza, Gust D. Servis, Frederick N.C. Jerauld
Hearing Site: Buffalo, NY
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