| 18-03113 | 10/09/2023 | Claimant(s): Matt Ardoyno
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Randy Bray
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Andrea U. Calve, Anita M. Jean, Michael Wayne Johnston
Hearing Site: Dallas, TX
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| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
|  | $260,436 |
| 21-02393 | 11/07/2022 | Claimant(s): Jerry Mathew
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Patricia M. Bottoms, Ronald G. Guida, Gregory G. Gocek
Hearing Site: Denver, CO
| | |
| 17-02090 | 11/23/2020 | Claimant(s): Colleen Simmons, Kenneth Thompson, Kenneth P. Thompson ROTH IRA, Simmons Living Trust U/A 08/30/02, Thompson Living Trust U/A 05/31/02
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Hightower Securities, Hightower Advisors
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Richard M. Norman, Robert E. Jenks, Milton N. Gross
Hearing Site: Los Angeles, CA
| | Settlement |
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 16-02472 | 07/11/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Daniel Gunderson
Respondent Lawyers(s): Daniel J. Gunderson
Arbitrator(s): Arthur L. Tepper
Hearing Site: Dallas, TX
| | |
| 15-02759 | 04/25/2017 | Claimant(s): Charles Gilbride, Dean Myerow
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): BB&T Securities
Respondent Lawyers(s): David E. Constine
Arbitrator(s): Edward W. Morris, Gregory James Libertiny, Sean F. Monahan
Hearing Site: Newark, NJ
| | |
| 13-02927 | 03/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Richard Hill
Respondent Lawyers(s): Richard Wayne Hill
Arbitrator(s): Arthur H. Geffen, Mark A. Myers, Edward J. Lynch
Hearing Site: Dallas, TX
| | |
| 14-02417 | 12/04/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Paula Deitering
Respondent Lawyers(s): David Yudelson
Arbitrator(s): Mark S. Foster
Hearing Site: Omaha, NE
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