| 17-00812 | 01/17/2018 | Claimant(s): John Jaicks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
| | |
| 16-02314 | 11/22/2017 | Claimant(s): Robert Leech, Robert W. Leech IRA, The Leech Family Trust
Claimant Lawyers(s): Tom Leech
Respondent(s): Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper, Michael Naccarato
Arbitrator(s): John J. Flynn, Kevin C. Coleman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | Expungement |
| 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
| | |
| 15-02910 | 06/09/2017 | Claimant(s): Estate of Mary Anne Trottier
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Steven Crawford
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Steven Gourley, Mark S. Priver, Michael Harrison
Hearing Site: Los Angeles, CA
| | $396,623 |
| 16-00942 | 03/16/2017 | Claimant(s): Richard Koerner
Claimant Lawyers(s): Raymond D. Barber
Respondent(s): Daniel Gieseke, Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | $0 |
| 15-00353 | 02/10/2017 | Claimant(s): Sheila Fernandes
Claimant Lawyers(s): Shyla Fernandes
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Robert D. Sussin, Benjamin F. Breslauer, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
| | $0 |
| 15-03015 | 01/30/2017 | Claimant(s): Edward Butowsky
Claimant Lawyers(s): Shauna Izadi
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Jeff Abrams, C. Sumpter Logan, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
| 16-00805 | 09/12/2016 | Claimant(s): Thomas Darga, Thomas M. Darga IRA
Claimant Lawyers(s): Jeffrey D. Gardner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Paul A. Cash
Hearing Site: Phoenix, AZ
| | $300 |
| 14-03669 | 06/24/2015 | Claimant(s): Richard Koerner
Claimant Lawyers(s): Richard J. Koerner
Respondent(s): Douglas Ingham, Morgan Stanley
Respondent Lawyers(s): Christine A. Kendrick, Lesley V. Tepper
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
| | $300 |
