| 23-00356 | 05/23/2023 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Erin Friel Elmore
Respondent(s): Ramon Perez
Respondent Lawyers(s): Ramon Paul Perez
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 18-02122 | 09/21/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Phillip Schreiner
Respondent Lawyers(s): Phillip Albert Schreiner
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 18-01958 | 09/19/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michael Nunez
Respondent Lawyers(s): Michael Ramon Nunez
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 18-01414 | 08/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Joseph A. Cialone
Respondent(s): Vicente Davila
Respondent Lawyers(s): Vicente Davila
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 14-00259 | 10/12/2017 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Marguerite C. Snyder
Respondent(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven Gerard Goerke, Jeffrey R. Roth, Michael S. Kozlow
Hearing Site: Miami, FL
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| 15-03334 | 12/13/2016 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC, Morgan Stanley Smith Barney Holdings LLC
Claimant Lawyers(s): Laura J. Starr
Respondent(s): John Halper
Respondent Lawyers(s): Samuel A. Wilson
Arbitrator(s): Robert A. Dean, Frank (Francis) Eugene Roedl, Dennis Wilton Burnette
Hearing Site: Atlanta, GA
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| 16-01203 | 09/29/2016 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Drew Romeo
Respondent Lawyers(s): Drew Anthony Romeo
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
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| 13-02986 | 07/02/2014 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 12-01386 | 07/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Joseph Buchanan
Respondent Lawyers(s): Joseph Buchanan
Arbitrator(s): Mark S. Priver, David W. Dresnick, Daniel R. Brush
Hearing Site: Los Angeles, CA
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