| 19-00412 | 10/23/2019 | Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas N. George
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
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| 19-00163 | 10/17/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
| | |
| 18-02895 | 10/16/2019 | Claimant(s): Anne Marie Fargason, Evelyn Chiasson
Claimant Lawyers(s): Frank "Kim" Breese
Respondent(s): Andrew Black, Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Frank M Romano, Bertrand C. Moser, Allan R. Lazor
Hearing Site: New Orleans, LA
|  | $109,323 |
| 18-03660 | 10/11/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | |
| 18-03081 | 10/08/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 19-00015 | 10/08/2019 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott Rahn
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Chan Nam
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 18-02745 | 09/11/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 18-02144 | 08/15/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 16-00473 | 07/31/2019 | Claimant(s): Gregory Smyth, Mary Smyth, GPS & MCS Limited Partnership
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fred S. Pieroni, Laura Carraher, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $0 |
| 18-02137 | 06/27/2019 | Claimant(s): David Wren
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets., Cetera Advisors
Respondent Lawyers(s): David I. Hantman, Jeremy S. Winer, Jeremy Carr
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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