| 15-02399 | 11/21/2016 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Joseph Perta
Respondent Lawyers(s): David Lee
Arbitrator(s): Nancy E. Watters, Lisa Blunk Johnson, Glenn Hiram Stephens
Hearing Site: Washington, DC
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| 11-03113 | 12/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee, Samuel P. Mauch
Respondent(s): Laurie Facsina
Respondent Lawyers(s): Laurie Fascina
Arbitrator(s): Thomas R. Skulina, Robert H. Baker, Dennis S. Medica, CPA
Hearing Site: Cleveland, OH
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| 13-00154 | 08/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. E. Craig Doupe, Frederick B. Mueller, Peter R. Day
Hearing Site: Seattle, WA
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| 12-03580 | 03/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Craig Norton, James Tidwell
Respondent Lawyers(s): Doug Hyman
Arbitrator(s): Gary M. Landau, Berthold T. Berkwich, Ellen J. Abrams
Hearing Site: Boca Raton, FL
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| 13-00128 | 10/22/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Tim Grubb
Respondent(s): David Lee
Respondent Lawyers(s): David Robert Lee
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
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| 12-02535 | 02/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s): Donald Rasweiler
Respondent Lawyers(s): Douglas Stone
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-00056 | 02/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Jeffrey Wylde
Respondent Lawyers(s): Jeffrey Russell Wylde
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
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| 11-00958 | 12/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Chad Samuel
Respondent Lawyers(s): Chad H. Samuel
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, David A. Nixon
Hearing Site: Kansas City, MO
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| 11-04031 | 03/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
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| 11-02407 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Albert Krauza
Respondent Lawyers(s): Albert J Krauza
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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