Arbitration Awards Online

Claimant(s): Jack Riley

Claimant Representative(s): David I. Hantman

Respondent(s): UBS Financial Services Inc.

Claimant(s): Andrew Lerner, Jeri Lerner

Claimant Representative(s): David C. Silver

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

Claimant(s): Timothy Wheeler

Claimant Representative(s): Christopher H. Tovar

Respondent(s): Northwestern Mutual Investment Services,

Claimant(s): Paul Morehouse

Claimant Representative(s): Peter Lindholm

Respondent(s): Cetera Wealth Services, LLC

Claimant(s): Ellen Sadur

Claimant Representative(s): Jeff Sadur

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

Claimant(s): Kevin Tamlyn

Claimant Representative(s): Kevin Kingsley Tamlyn

Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.

Claimant(s): Joao Bastos

Claimant Representative(s): James P. Galvin

Respondent(s): Citigroup Global Markets, Inc.

Claimant(s): Daniel Gardner

Claimant Representative(s): Alex Padla

Respondent(s): OSAIC Wealth, Inc

Claimant(s): Trent White

Claimant Representative(s): Patrick Mahoney

Respondent(s): Vanguard Marketing Corporation

Claimant(s): Darcy Dahl

Claimant Representative(s): David I. Hantman

Respondent(s): Morgan Stanley

Claimant(s): Althonia Small, Arnold Merriweather, Callie Merriweather, Cheryl Stacy, Danny Jackson, Gladys Jackson, H. Buerkle, Jackie Simmons, Jennie Robinson, Joseph Smith, Sue Mitchell, Suzanne Simmons

Claimant Representative(s): Michael C. Bixby

Respondent(s): Charles Schwab & Co., Inc., TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.

Claimant(s): Dennis Askari

Claimant Representative(s): Younes Mohseni

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

Claimant(s): Michael Mattison

Claimant Representative(s): Jennifer Cox

Respondent(s): Centaurus Financial, Inc.

Claimant(s): Albert Newton, Tina Newton, IRA of Albert A. Newton

Claimant Representative(s): Douglas A. Vonderhaar

Respondent(s): Jerod Tilton, U.S. Bancorp Investments, Inc.

Claimant(s): Adam More, Adrienne Roth, Alan Gerali, Amanda Stephen, Annette Cox, Barbara Ficht, Barry Exum, Ben Court, Bradley Cofoid, Carol Niederpruem, Catherine Kaleta, Christine Roschelle, Connie Powe-Watts, Daniel Vondrasek, David Cribbs, David Dorrance, Deanna Manke, Dennis Kane, Dennis McGinley, Diane DiBartolomeo, Diane Matteson, Diane Roth, Edward Manke, Eileen Mathis, Gae More, Galia Meiri, Gary Niederpruem, George Cox, George Lindley, George Meyer, Jason More, Jeffrey Maxey, Jeffrey Silhan, Jennifer More, John Balanoff, John Fletcher, Joni Shulman, Joscelyn Cofoid, Joseph Miglio, Judith McGinley, June Dorrance, Kathleen Cox, Kenneth Cox, Kenneth Hammer, Kenneth Kaleta, Kevin Carney, Larry Kane, Linda Herskovic, Linda Hubright, Linda Silhan, Lisa Kane, Luann Busch, Lynn Caldarola, Marc Silhan, Marcella Perkunas, Marcia Kunstler, Marcie Kane, Marianne Jamrok, Mary Lou Jarvis, Maureen Fletcher, Melvin Roschelle, Michael Jamrok, Michael More, Nancy Pollak, Nancy Roth, Natalie Maxey, Paul Caldarola, Richard Phillips, Rik Holmes, Robert Ugel, Robert Watts, Ronald Weiss, Ross McGinley, Roy Reinart, Ruth Spiro, Sandra Vondrasek, Scott Busch, Sharon Meyer, Shelly Hammer, Sherri Larabie-Exum, Sorayda Carney, Warren Kunstler, William Ficht, William Matteson, William Vankat, Alan Gerali IRA, Barbara. Ficht IRA, Bradley Cofoid IRA, Catherine S. Kaleta IRA, Daniel T. Vondrasek IRA, David Dorrance IRA, Dennis Kane IRA, Diane DiBartolomeo IRA, Diane Roth IRA, Eileen Mathis IRA, Gae More IRA, George E. Lindley IRA, George R. Meyer IRA, John Fletcher IRA, Joni Shulman IRA, Kathleen Cox IRA, Kenneth Cox IRA, Kenneth Hammer IRA, Kenneth S. Kaleta IRA, Marc C. Silhan Roth IRA, Marcella Perkunas IRA, Maureen Fletcher IRA, Michael More IRA, Sharon L. Meyer IRA, Shelly Hammer Roth IRA, Spiro as POA for Anne Bernstein's IRA, William E. Matteson IRA, Arthur Gerali & Rose Gerali Special Need, Ben Court Rev. Liv. Trust DTD 9/13/2012, Bradley Cofoid Employees Trust, Carol J. Niederpruem Trust DTD 2/15/2000, Cox Family Trust U/A 1/17/05, D & S Vondrasek Liv. Trust DTD 1/30/2015, D & S Vondrasek Living Trust DTD 1/30/15, Dennis Kane Trust, Elmer & Irene Reinart Rev. Living Trust, Gary Niederpruem Trust DTD 2/15/2000, George Lindley 2012 Trust DTD 8/8/2012, Irene B. Crawford Trust DTD 5/30/02, Kathryn Craft Special Needs Trust, Kenneth S. Kaleta Trust DTD 8/20/96, Marc C. Silhan Trust DTD 10/7/2003, Marcie Kane Trust, Michael More Liv. Trust DTD 10/12/2000, Richard Phillips Trust, Robert M. Ugel Rev. Trust DTD 9/23/2020, Roschelle Fam. Living Trust U/A 09/27/13, Roschelle Family Liv, Trust U/A 9/27/13, Sharon L. Meyer Trust DTD 12/17/1992, Shelly E. Hammer Revocable Trust, The Cox Family Turst U/A 1/17/05, Watts/Powe-Watt Family Trust, Watts/Powe-Watts Family Trust, William J. Vankat, Jr. Trust, William Matteson & Diane Matteson Trust, William and Diane Matteson Rev Trust., Mr. Holmes- POA Chris Marx & Grace Marx, Ruth Spiro as POA for Anne Bernstein

Claimant Representative(s): D. Daxton White

Respondent(s): Triad Advisors LLC