| 15-00777 | 01/23/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jeffrey Smith
Respondent Lawyers(s): Jeffrey H. Smith
Arbitrator(s): Richard E. Lauziere, Glenn H. Catalano, David Paul Clark
Hearing Site: Norfolk, VA
| | |
| 13-03758 | 08/06/2015 | Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
|  | Expungement |
| 13-02334 | 07/14/2014 | Claimant(s): Jeffrey Smith, Joel Sheldon, Kozen Tsukamoto, Wayne Miiller
Claimant Lawyers(s): Wayne Ivan Miller
Respondent(s): J. Schultz, Longview Financial Group.
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Katherine M. Harmeyer, Richard B. Bequette, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
| | |
| 12-02890 | 03/19/2014 | Claimant(s): Jeffrey Smith
Claimant Lawyers(s): B. David Jarashow
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Ronald L. Cheney
Hearing Site: Manchester, NH
| | $0 |
| 09-05489 | 01/11/2011 | Claimant(s): George Saltzman
Claimant Lawyers(s): David F. McComb
Respondent(s): Jeffrey Smith, Morgan Stanley
Respondent Lawyers(s): Allison J. Adler
Arbitrator(s): Guillermo L. Bosch, Elizabeth A. McKinney, Richard N. Kelmans
Hearing Site: Philadelphia, PA
| | |
