| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
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| 12-04075 | 11/20/2013 | Claimant(s): Gai 08 Trust Under Agreement dd 10/15/08
Claimant Lawyers(s): Steven A. Clair
Respondent(s): Casey Knowles, Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Jonathan Holman Hathaway, Juleanne A. Thiebaut, Edwin C. Shiver
Hearing Site: San Francisco, CA
|  | Expungement |
| 11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 13-00024 | 10/28/2013 | Claimant(s): Patricia Armstrong
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Raymond James Financial Services., Morgan Stanley & Co.
Respondent Lawyers(s): Terrence A. Bostic, William A. Hohauser
Arbitrator(s): Douglas Earl McLaren, Joyce A. Mitchell, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Gill
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | |
| 11-00951 | 08/29/2013 | Claimant(s): Amit Gupta
Claimant Lawyers(s): Amy C. Brown
Respondent(s): Morgan Stanley & Co., Morgan Stanley Capital Group
Respondent Lawyers(s): Jennifer J. Barrett
Arbitrator(s): John W. Bissell, John S. Martin, Don Robinson
Hearing Site: New York, NY
| | |
| 10-03377 | 07/01/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Allen Gibson
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
| | |
| 11-00932 | 06/24/2013 | Claimant(s): John Kassel, Kay Hankins (Kassel), Kermit Jones, Rolfe Hankins, John I. Kassel IRA, Rolfe Harris Hankins IRA, Joye H. Steen Rev Trust Dtd 12/14/2004, Joye H. Steen Rev Trust FBO Joye Steen, Kermit V. Jones Jr., TTEE
Claimant Lawyers(s): Judson M. Lee
Respondent(s): Fred Brister III, Hilary Zimmerman, Morgan Stanley, Morgan Stanley & Co., Steven Wyatt
Respondent Lawyers(s): Jamie Berger, Joseph C. Coates
Arbitrator(s): Simeon B. Reimonenq, William Gilbert Faulk, James Albert Hurt
Hearing Site: Jackson, MS
| | $288,440 |
| 12-00763 | 06/21/2013 | Claimant(s): Benjamin Hutchen
Claimant Lawyers(s): Jeffrey Patton
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard G Clemens, Melvin Eugene Miller, G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
| 10-02178 | 05/21/2013 | Claimant(s): John Freund
Claimant Lawyers(s): Daniel S. Tarlow
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley Smith Barney Holdings, LL
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): B. J. Krintzman, Norman Foxman, John J. Mager
Hearing Site: Boston, MA
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