| 21-00137 | 05/27/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jeanette Stofleth
Respondent Lawyers(s): Donna Mack
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
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| 18-01889 | 02/01/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Justin Harris
Respondent Lawyers(s): Justin J. Harris
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 17-02770 | 12/11/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Guillermo Valladolid
Respondent Lawyers(s): Guillermo William Valladolid
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 18-01958 | 09/19/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michael Nunez
Respondent Lawyers(s): Michael Ramon Nunez
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 15-03159 | 10/06/2017 | Claimant(s): Janet Demarcke
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Phillip Multop
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk
Hearing Site: Seattle, WA
|  | Expungement |
| 15-00610 | 07/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): John Lipari
Respondent Lawyers(s): Michael E. Barmasse
Arbitrator(s): Kirtley M. Thiesmeyer, Owen Frances, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
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| 14-03589 | 01/26/2016 | Claimant(s): Estate of Doris Sharp
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): David Ludwig, Leif Oksenvaag, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Roxanne Sheehan
Arbitrator(s): Robert E. Meston, Philip E. Cutler, Craig Charles Beles
Hearing Site: Seattle, WA
| | Expungement |
| 14-01878 | 10/14/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Daniel Kitchen
Respondent Lawyers(s): Daniel Kitchen
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
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| 13-01179 | 01/28/2015 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Aaron S. Furniss
Respondent(s): KeyBank National Association
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Laila Asmar Folk, William B. James, David Cottingham Mann
Hearing Site: Memphis, TN
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