New York, NY
Employment and labor Lawyer at New York, NY
Practice Areas: Employment & Labor, Contracts & Agreements ... +4 more
OUTCOME: Expungement Obtained
Represented Respondent Morgan Stanley & Co. Inc. In The Matter of the Arbitration Between John Hart v. UBS Financial Services Inc. and Morgan Stanley & Co., Inc., 2011 WL 2324030 (FINRA) (May 31, 2011 ... ) (Negotiated settlement and obtained expungement of action from Registered Representative’s CRD records following evidentiary hearing
OUTCOME: Obtained Expungement
Represented Respondent Morgan Stanley: In The Matter of the Arbitration Between Joan Edington Schaefer and Declan R. Schaefer, Trustees of James C. Edington Trust Dated 8/2/1972 And POA Of James C. Ed ... ington v. Morgan Stanley Smith Barney, 2011 WL 1734779 (FINRA) (April 27, 2011) (Negotiated settlement following mediation and obtained expungement of action from Registered Representative’s CRD records following evidentiary hearing)
OUTCOME: Claimant's claims denied in their entirety following hearing.
Co-counsel representing Respondents. In The Matter of the Arbitration Between Charles A. Costanzo v. Ronald G. Harris, Christopher M. Albright and Morgan Stanley & Co., Inc., 2009 WL 4903496 (FINRA) ( ... December 10, 2009) (Co-Counsel in matter in which Claimants’ claims were denied in their entirety following eleven-day evidentiary hearing)
OUTCOME: Dismissal of Statement of Claim.
Represented Respondents. In The Matter of the Arbitration Between Joanne Manchester v. Morgan Stanley DW Inc. and John Scheck, 2008 WL 1969328 (FINRA) (April 24, 2008) (Obtained dismissal of Claimant’s ... action following argument of Respondent’s motion to dismiss)
OUTCOME: Dismissal of Statement of Claim.
Represented Morgan Stanley. In The Matter of the Arbitration Between Kenneth Hughes v. Morgan Stanley DW, Inc., 2008 WL 239034 (FINRA) (January 17, 2008) (Obtained dismissal with prejudice of Claimant ... ’s action following argument of Respondent’s motion to dismiss)
OUTCOME: Obtained dismissal of Statement of Claim and Expungement.
Represented Morgan Stanley and Ralph Drayer. In The Matter of the Arbitration Between Beverly Joyce Ashton v. Ralph Drayer, Morgan Stanley Dean Witter and Allstate Life Insurance Company, 2007 WL 2974 ... 171 (FINRA) (September 24, 2007) (Obtained dismissal with prejudice of Claimant’s action following argument of Respondent’s motion to dismiss; also obtained expungement of action from Registered Representative’s CRD records)
OUTCOME: Obtained Dismissal for Respondent
Represented Respondent Morgan Stanley: In The Matter of the Arbitration Between Henry Duffus and Paulette Burges v. Morgan Stanley DW, Inc. and Marc Taubin, 2007 WL 1214686 (N.A.S.D.) (April 12, 2007) ... (Obtained dismissal with prejudice of Claimant’s action following argument of Respondent’s motion to dismiss)
OUTCOME: Obtained dismissal of Statement of Claim.
Represented Morgan Stanley. In The Matter of the Arbitration Between Harbert Distressed Investment Master Fund, Ltd v. Stone & Youngberg LLC, et al., 2007 WL 1094337 (FINRA) (April 2, 2007) (Obtained ... dismissal with prejudice following evidentiary hearing in complex arbitration with over twenty parties)
OUTCOME: Expungement Obtained.
Represented Respondents Morgan Stanley and Richard Rohr: In The Matter of the Arbitration Between Steven K. Sandor and Diane R. Sandor v. Morgan Stanley DW Inc., Donald W. Boyle, And Richard J. Rohr, ... 2007 WL 188467 (N.A.S.D.) (January 11, 2007) (Negotiated settlement and obtained expungement of action from Registered Representative’s CRD records following evidentiary hearing)
OUTCOME: Award for Respondent (Claimant was denied recovery)
Represented Respondent Morgan Stanley: In The Matter of the Arbitration Between Joseph Raio & Jeanine Raio v. Morgan Stanley DW, Inc. & Robert David Cohen, 2006 WL 3770792 (N.A.S.D.) (December 6, 2006 ... ) (Claimants’ claims were denied in their entirety following two-day evidentiary hearing)
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