Arbitration Awards Online

Claimant(s): Danielle Azadian

Claimant Representative(s): Lars Soreide

Respondent(s): Peter Janssen, Katalyst Securities Llc

Claimant(s): Michael Rice

Claimant Representative(s): Chelsea Bauer

Respondent(s): Lehman Brothers Inc

Claimant(s): Gregory Thorn

Claimant Representative(s): Dochtor Kennedy

Respondent(s): Cetera Advisor Networks LLC

Claimant(s): Carlos Estima, Eduardo Cruz, Kenia Naves Rocha, Luis De Melo Ferreira

Claimant Representative(s): Jordi C. Martinez-Cid

Respondent(s): EFG Capital International

Claimant(s): Edward Maynard

Claimant Representative(s): Dochtor Kennedy

Respondent(s): Cambridge Investment Research, Inc.

Claimant(s): Hua Fan

Claimant Representative(s): Hua Fan

Respondent(s): Wells Fargo Clearing Services, LLC

Claimant(s): Ann Stewart

Claimant Representative(s): Christopher Lufrano

Respondent(s): Parkland Securities, LLC

Claimant(s): Jeffrey Beaulieu

Claimant Representative(s): William Bean

Respondent(s): NYLife Securities LLC

Claimant(s): John Parmigiani

Claimant Representative(s): Irwin Weltz

Respondent(s): Allied Millennial Partners, LLC

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

Claimant Representative(s): Jonathan D. Berg

Respondent(s): Abraham Bichler

Claimant(s): Dorothy Harnish, Glenn Harnish

Claimant Representative(s): Michael S. Hill

Respondent(s): National Securities Corporation

Claimant(s): Dorothy Harnish, Glenn Harnish

Claimant Representative(s): Michael S. Hill

Respondent(s): National Securities Corporation

Claimant(s): Patrick McWalter

Claimant Representative(s): William Bean

Respondent(s): Morgan Stanley & Co., LLC

Claimant(s): Wells Fargo Clearing Services, LLC

Claimant Representative(s): Teresa J. Thong

Respondent(s): James Lee

Claimant(s): Shian-Chang Yu

Claimant Representative(s): Kamal Ghali

Respondent(s): Interactive Brokers LLC