Arbitration Awards Online

Claimant(s): Gregory Malin

Claimant Representative(s): Dochtor Kennedy

Respondent(s): Cetera Investment Services, LLC.

Claimant(s): David Scranton

Claimant Representative(s): James P. Galvin

Respondent(s): Park Avenue Securities LLC

Claimant(s): Bradley Grate, David Hamilton, Gary Edwards, Jeffrey Worley, Robert Ertner

Claimant Representative(s): Brandon Dei

Respondent(s): Shawn Kinsella, Axos Clearing LLC

Claimant(s): Zak Shaik

Claimant Representative(s): Zak Shaik

Respondent(s): Pruco Securities, LLC.

Claimant(s): Kovack Securities Inc

Claimant Representative(s): Amy Towle

Respondent(s): Hans Sharma

Claimant(s): Eric Jensen

Claimant Representative(s): Eric Jensen

Respondent(s): Peter Bednarek

Claimant(s): Stephen Ferencik

Claimant Representative(s): Michael Kalmus

Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.

Claimant(s): Dean Donohue

Claimant Representative(s): Lawton R. Graves

Respondent(s): Ameriprise Financial Services, Inc.

Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL

Claimant Representative(s): Samuel P. Mauch

Respondent(s): James Czerniak

Claimant(s): Connor Aronis

Claimant Representative(s): Stephan Louviere

Respondent(s): Edward Jones

Claimant(s): Stephen Kiront

Claimant Representative(s): John D. Stewart

Respondent(s): Woodstock Financial Group, Inc.

Claimant(s): Leonid Krimotat, Sima Bergelson

Claimant Representative(s): Kristian P. Kraszewski

Respondent(s): Wells Fargo Clearing Services, LLC

Claimant(s): Carlos Pou

Claimant Representative(s): Leslie Y. Flores

Respondent(s): UBS Financial Services Inc.

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

Claimant Representative(s): Michael R. Greco

Respondent(s): Jacob Williams

Claimant(s): Sandra Scanni

Claimant Representative(s): Sandra Scanni

Respondent(s): NYLife Securities LLC