| 15-01979 | 06/16/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Patrick G. King
Respondent(s): Scott Sade
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Monroe Mitchel, Mark I. Roth, John S. Leech
Hearing Site: Boca Raton, FL
| | |
| 13-03476 | 05/16/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barny Notes Holding
Claimant Lawyers(s): Patrick G. King
Respondent(s): Michael Smith
Respondent Lawyers(s): Aaron A. Wernick
Arbitrator(s): Marc T. Danon, Bruce M. Alster, Robert J. Buchner
Hearing Site: Boca Raton, FL
| | |
| 13-02892 | 12/06/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Patrick G. King
Respondent(s): Christopher Johnson, Randall Johnson
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Robert E. Robertson, Emily B. Boote, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | |
| 12-02453 | 09/19/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Patrick G. King
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Frank Samuelsohn, Susan L. Walker, Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | |
| 11-00679 | 08/20/2012 | Claimant(s): S.R. Takayama
Claimant Lawyers(s): Lawrence R. Cock
Respondent(s): Claude Ohanesian, Citigroup Global Markets., Morgan Stanley, Michael Coleman
Respondent Lawyers(s): Nicholas P. Iavarone, Patrick G. King
Arbitrator(s): Kathryn J. Toronto, Peter H. Daly, Anthony G. Sousa
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | $0 |
