Arbitration Awards Online

Claimant(s): Paul Miller

Claimant Representative(s): Jonathan M. Sterling

Respondent(s): Commonwealth Financial Network

Claimant(s): Wells Fargo Clearing Services, LLC

Claimant Representative(s): Frank Cuccio

Respondent(s): Brendan Kammerer

Claimant(s): Christine Counton, Jeffrey Counton

Claimant Representative(s): Jason Kane

Respondent(s): Morgan Stanley

Claimant(s): Scott Rosenberg

Claimant Representative(s): David I. Hantman

Respondent(s): UBS Financial Services Inc.

Claimant(s): Jason Nelson

Claimant Representative(s): Jennifer Cox

Respondent(s): LPL Financial LLC

Claimant(s): Mara Otley

Claimant Representative(s): Peter Lindholm

Respondent(s): Wells Fargo Advisors Financial Network

Claimant(s): Noah Simon

Claimant Representative(s): David I. Hantman

Respondent(s): UBS Financial Services Inc.

Claimant(s): Julius Moore

Claimant Representative(s): Julius J. Moore

Respondent(s): Charles Schwab & Co., Inc.

Claimant(s): Kathleen Crowder

Claimant Representative(s): Kathleen Crowder

Respondent(s): Brian Ikemeier, Edward Jones, Joel Chaney, William Kay

Claimant(s): Michael Isikow

Claimant Representative(s): Jeffrey B. Kaplan

Respondent(s): UBS Financial Services Inc.

Claimant(s): Alison Reardon

Claimant Representative(s): Alison Reardon

Respondent(s): Charles Schwab & Co., Inc.

Claimant(s): Ronald Vaughn

Claimant Representative(s): Ronald D. Vaughn

Respondent(s): Moomoo Financial Inc.

Claimant(s): Sumaya Musa

Claimant Representative(s): Roberto C Quiñones

Respondent(s): UBS Financial Services Inc.

Claimant(s): Anthony Paschal

Claimant Representative(s): Anthony Diante Paschal

Respondent(s): Charles Schwab & Co., Inc.

Claimant(s): John Pancoast

Claimant Representative(s): John W. Pancoast

Respondent(s): Joshua Levine, T. Rowe Price Investment Services, Inc., Moriah Yousefi