Arbitration Awards Online

Claimant(s): Wells Fargo Clearing Services, LLC

Claimant Representative(s): Keith J. Barnett

Respondent(s): Robert Padgett

Claimant(s): Angela Lucas

Claimant Representative(s): William McAllister

Respondent(s): David Haufe, Erik Swanson, Simplex Trading, LLC

Claimant(s): OSAIC Wealth, Inc

Claimant Representative(s): Jennifer R. Cox

Respondent(s): Michael McMahon

Claimant(s): Teddy James

Claimant Representative(s): Teddy D. James

Respondent(s): Morgan Stanley

Claimant(s): Paul Barrett

Claimant Representative(s): Jenice L. Malecki

Respondent(s): Citigroup Global Markets, Inc., Citi Private Advisory, LLC

Claimant(s): Paul Barrett

Claimant Representative(s): Jenice L. Malecki

Respondent(s): Citigroup Global Markets, Inc., Citi Private Advisory, LLC

Claimant(s): Roland Stoughton, Roland B. Stoughton Trust

Claimant Representative(s): Samuel Edwards

Respondent(s): DFPG Investments, LLC

Claimant(s): Roberto Guzman

Claimant Representative(s): Raul Morales

Respondent(s): Christina Kasper, Elizabeth Suarez, The Estate of Ernesto J. Suarez

Claimant(s): Securities America, Inc.

Claimant Representative(s): Jennifer R. Cox

Respondent(s): Jon Hoyle

Claimant(s): Kultar Bindra

Claimant Representative(s): Harris Freedman

Respondent(s): Truist Investment Services, Inc., UBS Financial Services Inc.

Claimant(s): Judy Greene, Sheldon Greene

Claimant Representative(s): Sheldon L Greene

Respondent(s): Fidelity Brokerage Services LLC

Claimant(s): Phillip Whittemore

Claimant Representative(s): Phillip Whittemore

Respondent(s): Robinhood Financial, LLC., Robinhood Securities, LLC

Claimant(s): Jeffrey Glazer

Claimant Representative(s): Richard A. Roth

Respondent(s): Laidlaw & Company (Uk) Ltd.

Claimant(s): Casey Peterson

Claimant Representative(s): Dochtor Kennedy

Respondent(s): Northwestern Mutual Investment Services

Claimant(s): John Lowry, Kim Monchik

Claimant Representative(s): Thomas P. McEvoy

Respondent(s): Spartan Capital Securities, LLC