| 21-00507 | 04/14/2022 | Claimant(s): Katie Klein, Estate of Roy S. Dale, Dale & Klein Partnership, K&R Family Limited Partnership
Claimant Lawyers(s): William Mount
Respondent(s): Morgan Stanley, J. Bryan Reece, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Adam M. Kauff
Arbitrator(s): David C. Redford, Stephanie E. Simmons, Cynthia Ann Kittle
Hearing Site: Houston, TX
|  | Expungement |
| 20-00009 | 04/14/2022 | Claimant(s): Janet Schmitz, John Schmitz
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Edward R. Niederriter, Will Murphy, Kevin A. Llinas
Hearing Site: Boca Raton, FL
| | Expungement |
| 17-02733 | 04/13/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Izhar Shefer
Respondent Lawyers(s): Nera Shefer
Arbitrator(s): Susanne J. Hollander, Lawrence Robert Gould, Joseph Michael Librie
Hearing Site: Miami, FL
| | |
| 21-01831 | 04/13/2022 | Claimant(s): Thomas Rimini
Claimant Lawyers(s): Thomas Rimini
Respondent(s): J.P. Morgan Securities, Bear Stearns Asset Management Inc.
Respondent Lawyers(s): Eric K. Hildenbrand, Steven J. Pearlman
Arbitrator(s): Laura Carraher, Michael S. Lazan, Leona Beane
Hearing Site: New York, NY
| | |
| 21-01959 | 04/13/2022 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Michael Bessette
Respondent(s): The Equitable Life Assurance Society Of
Respondent Lawyers(s): Joseph W. Goodman
Arbitrator(s): Denise L. Quarles, Josian Antoine, Nadia Polack
Hearing Site: New York, NY
| | |
| 19-01633 | 04/13/2022 | Claimant(s): Jeanne Capasse, Thomas Capasse
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Michael Jaffe, Edmund Timothy Donovan, Sean Farrow
Hearing Site: New York, NY
| | Expungement |
| 20-00386 | 04/13/2022 | Claimant(s): Jake Phillips, Rebecca Slavin-Phillips
Claimant Lawyers(s): Jake Phillips
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Guillermo L. Bosch, Gail Marie Noel, M. Melvin Shralow
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03312 | 04/13/2022 | Claimant(s): Clinton Anderson
Claimant Lawyers(s): Christopher W. Patton
Respondent(s): Blair Horne, Morgan Stanley
Respondent Lawyers(s): John Bersin
Arbitrator(s): Andrea U. Calve, Lawrence R. Maxwell, Will Pryor
Hearing Site: Dallas, TX
| | $211,810 |
| 20-00137 | 04/12/2022 | Claimant(s): Stonehaven, Titanium Alternative Solutions
Claimant Lawyers(s): David E. Robbins
Respondent(s): Bird Box Entertainment Limited
Respondent Lawyers(s): Timothy Lynch
Arbitrator(s): Joseph L. Calabrese, Laura Wong-Pan
Hearing Site: New York, NY
| | |
| 20-00622 | 04/12/2022 | Claimant(s): Joseph Denicola
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Robin H. Rome
Arbitrator(s): B. John Dill, Frank Sanclemente, George Weston Mann
Hearing Site: Boston, MA
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