| 13-03119 | 11/19/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Lynne C. Hermle, Trish M. Higgins
Respondent(s): Carrie Riley
Respondent Lawyers(s): Stephen S. Smith
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
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| 14-01387 | 09/21/2015 | Claimant(s): Tracy Chen
Claimant Lawyers(s): Laura Sullivan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): James D. Knotter, June McLaughlin, Steven H. Gentry
Hearing Site: Los Angeles, CA
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| 11-01203 | 01/26/2015 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
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| 14-00482 | 12/22/2014 | Claimant(s): Andrea Halperin
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): Richard N. Friedman, June McLaughlin, Dorothy B. Strackbein
Hearing Site: Los Angeles, CA
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