| 23-02041 | 03/28/2024 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Allied Millennial Partners
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | |
| 21-01334 | 02/10/2022 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Allied Millennial Partners
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
| | |
| 16-00767 | 04/05/2018 | Claimant(s): Kirk Hoffman
Claimant Lawyers(s): James Malachy Meaney
Respondent(s): Dieter Huber, National Securities Corporation, Kay Johnson, Kieran Loughran, Mark Goldwasser
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Steven H. Vogel, Stephen W. Mack, Frank A. Dusek
Hearing Site: Chicago, IL
|  | Expungement |
| 14-01448 | 04/26/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Scott Maloy
Respondent Lawyers(s): Scott D. Maloy
Arbitrator(s): Lawrence E. Little, Kay A. Johnson, CRCP, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | |
| 11-04458 | 11/08/2012 | Claimant(s): Gerald Hummel, Ila Hummel, Hummel Family Trust dtd 8/8/01
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Kay Johnson
Arbitrator(s): Edmund Herbert Hecht
Hearing Site: Orlando, FL
| | $75,000 |
| 08-03678 | 02/14/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Fenton
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Bonny Kathleen Riggs, Kay A. Johnson, CRCP, Judith Hill Henderson
Hearing Site: Seattle, WA
| | |
| 09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Cheri Johnson
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
| | |
