Arbitration Awards Online

Claimant(s): Qi Wen

Claimant Representative(s): William Bean

Respondent(s): Jefferies LLC

Claimant(s): Santa Rosa Rancheria Tachi Yokut Tribe

Claimant Representative(s): Ryan K. Bakhtiari

Respondent(s): Wells Fargo Clearing Services, LLC

Claimant(s): David Pogorelc

Claimant Representative(s): Christopher J. Major

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

Claimant(s): Donald Laurence

Claimant Representative(s): Stephan Louviere

Respondent(s): Hilltop Securities Inc.

Claimant(s): David Peyser

Claimant Representative(s): Stephan Louviere

Respondent(s): PNC Investments

Claimant(s): Michael Lombardi

Claimant Representative(s): Alan S. Baskin

Respondent(s): David Sherwood, Greenberg Financial Group

Claimant(s): Charlie Meredith

Claimant Representative(s): David A. Welling

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

Claimant(s): Marcia Hardy

Claimant Representative(s): Marcia L. Hardy

Respondent(s): Abacus Investments, Inc.

Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee

Claimant Representative(s): R. Sean McDonald

Respondent(s): Chad Carroll, Edward Jones

Claimant(s): Edward Jones

Claimant Representative(s): Roger P Meyers

Respondent(s): Wells Fargo Clearing Services, LLC, Justin Mackay

Claimant(s): Gregory Benner

Claimant Representative(s): Peter Lindholm

Respondent(s): Chase Investment Services Corp.

Claimant(s): Inderpal Anand

Claimant Representative(s): James P. Galvin

Respondent(s): Ameriprise Financial Services, LLC

Claimant(s): Peter Armstrong

Claimant Representative(s): Dochtor Kennedy

Respondent(s): Advisors Asset Management, Inc.

Claimant(s): Barry Kiront

Claimant Representative(s): John Stewart

Respondent(s): Monroe Parker Securities, Inc., Woodstock Financial Group, Inc.

Claimant(s): Michael Nolan

Claimant Representative(s): Todd Gutfleisch

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