| 17-01144 | 11/21/2017 | Claimant(s): Anthony Pecoraro
Claimant Lawyers(s): Ronald M Amato
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 16-01798 | 11/17/2017 | Claimant(s): Barry Raymond, Leanne Raymond, The Barry Raymond 2000 Trust, The Leanne Raymond 2000 Trust, The Raymond Family 2000 Insurance Trust
Claimant Lawyers(s): Lawrence Hornsby
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Ronald Garrison
Respondent Lawyers(s): Roxanne Fixsen
Arbitrator(s): Ian S. Greig, Colleen Rotella, John H. Komoroske
Hearing Site: Orlando, FL
|  | Expungement |
| 16-02519 | 11/01/2017 | Claimant(s): Jerry and Sandra Staub
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Fredric R. Dichter, Donald Theodore Ryce, Sara Elizabeth Hanley
Hearing Site: Boca Raton, FL
| | $432,823 |
| 17-00472 | 10/31/2017 | Claimant(s): David Bass
Claimant Lawyers(s): John Stewart
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): David G. Pittinos, Alvin Abraham Simon, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 17-00696 | 10/09/2017 | Claimant(s): Ronald Mckinney
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Cindy L. Anderson, Hope L. Newsome, Mary Ann Etzler
Hearing Site: Orlando, FL
| | |
| 16-03138 | 08/29/2017 | Claimant(s): Derek Copeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
| | |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 16-01568 | 07/13/2017 | Claimant(s): Louis Falvo
Claimant Lawyers(s): Peter J. Glennon
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Michael P. Hennigan, Peter A.P. Dunlop, Paul Tichauer
Hearing Site: Buffalo, NY
| | |
| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | |
| 16-03560 | 05/17/2017 | Claimant(s): Wayne Meland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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