Arbitration Awards Online

Claimant(s): Ameriprise Financial Services, LLC, Ameriprise Captive Insurance Company

Claimant Representative(s): Danya W. Blair

Respondent(s): Dusty Sternadel

Claimant(s): William Evans

Claimant Representative(s): Owen Harnett

Respondent(s): Fidelity Brokerage Services LLC

Claimant(s): William Hennion

Claimant Representative(s): Jennifer B. Woods Burke

Respondent(s): Hennion & Walsh, Inc.

Claimant(s): James Harding

Claimant Representative(s): Alex Padla

Respondent(s): Morgan Stanley

Claimant(s): Bluefin Research Partners, Inc.

Claimant Representative(s): Philip M. Giordano

Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval

Claimant(s): Bluefin Research Partners, Inc.

Claimant Representative(s): Philip M. Giordano

Respondent(s): Brian Kritzer, Gerald Battista, Paul Peterson, Rebecca Duval

Claimant(s): Parker King

Claimant Representative(s): Alex Padla

Respondent(s): Western International Securities, Inc.

Claimant(s): Sandro Olivos

Claimant Representative(s): Kathy M. Klock

Respondent(s): Ocean Financial Services, LLC

Claimant(s): Shawn Manuel

Claimant Representative(s): David B. Cosgrove

Respondent(s): OSAIC Wealth, Inc

Claimant(s): Kingswood Capital Partners, LLC

Claimant Representative(s): John Garred

Respondent(s): Phillip Anderson

Claimant(s): Roberto De Jesus

Claimant Representative(s): Roberto C. Quinones-Rivera

Respondent(s): UBS Financial Services Inc.

Claimant(s): LPL Financial LLC

Claimant Representative(s): Samuel P. Mauch

Respondent(s): Elizabeth Espinal

Claimant(s): John Lowry, Kim Monchik

Claimant Representative(s): Thomas McEvoy

Respondent(s): Spartan Capital Securities, LLC

Claimant(s): Mark Rose

Claimant Representative(s): Mark Rose

Respondent(s): M&T Securities, Inc.

Claimant(s): Kah Seng Lau

Claimant Representative(s): Kah Seng Lau

Respondent(s): Interactive Brokers LLC