Arbitration Awards Online

Claimant(s): Alexander Catto, Brian Campbell, David Falk, Dennis Francy, Dwight Casey, Fred Weidner, Guy Wood, Marion Rus, Phillip Ainsworth, Steve Butz, Steven Krasne

Claimant Representative(s): Mack Press

Respondent(s): Spartan Capital Securities, LLC

Claimant(s): Frederick Kort

Claimant Representative(s): Alexander Padla

Respondent(s): UBS Financial Services Inc.

Claimant(s): Kurt Bradley

Claimant Representative(s): Jon-Jorge Aras

Respondent(s): J.P. Morgan Securities, LLC

Claimant(s): First Citizens Investor Services, Inc.

Claimant Representative(s): Emily G. Massey

Respondent(s): David Rougeau, John Bennett, William Smith

Claimant(s): Andrew Williams, Catherine Williams

Claimant Representative(s): Jeffrey Erez

Respondent(s): UBS Financial Services Inc.

Claimant(s): Anna Hartwell

Claimant Representative(s): Chelsea Bauer

Respondent(s): Pruco Securities, LLC.

Claimant(s): Sean Shubert

Claimant Representative(s): Courtney Werning

Respondent(s): Adam Jacobs, Oppenheimer & Co., Inc.

Claimant(s): Matthew Smith

Claimant Representative(s): John V. Mysliwiec

Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.

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

Claimant Representative(s): Jonathan D. Berg

Respondent(s): David Wong

Claimant(s): Brian Johnson

Claimant Representative(s): Chelsea Bauer

Respondent(s): Ameriprise Financial Services, LLC

Claimant(s): Joel Beane

Claimant Representative(s): Kristian P. Kraszewski

Respondent(s): Morgan Stanley

Claimant(s): Jose Chaves

Claimant Representative(s): Russell Del Toro Parra

Respondent(s): UBS Financial Services Inc.

Claimant(s): Jessica Spector, Steven Spector

Claimant Representative(s): Scott L. Silver

Respondent(s): LPL Financial LLC

Claimant(s): Brenda Miller

Claimant Representative(s): Brenda Miller

Respondent(s): Hennion & Walsh, Inc.

Claimant(s): Robert Snedden

Claimant Representative(s): Robert M. Snedden

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