Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03340. Ocean Research and Conservation Association Respondents Hearing Site: Boca Raton, Florida Banc of America Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ocean Research and Conservation Association, hereinafter referred to as "Claimant": Mathew J. B

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00488 Oppenheimer & Co., Inc. (Claimant) vs. David R. Bayer (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Deborah Dickstein, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Mableton, GA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 3, 2011 CASE SUMMARY: Claimant asserted the following cause of action: money owed pursuant to a Financial Advi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Synergy Investment Group, LLC (Claimant) vs. Baruch Coleman (Respondent) Case Number: 08-03738 Hearing Site: Newark, New Jersey consolidated with Baruch Coleman (Claimant) vs. Synergy Investment Group, LLC, Vision Trek, LLC, The Synergy Holding Group, Inc., Joseph Christopher Palladino, Eric Christopher Sides, Timothy John Bain, Mark Christopher Wesley, Burton Troy Medlin, and Jeffre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley & Co., Incorporated vs. Case Number: 09-00906 Hearing Site: Dallas, Texas Name of Respondent / Counter-Claimant Steven Scott Williams NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Incorporated ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane,

AWARD FINRA Diaputa Raaolution In the Matter of the Arbitration Between: Names of Claimants Bari^ara B. Agranoff and Abby Lavelle, as Attorney in Fact for Barbara B. Agranoff, Individually and as Trustee and on behalf of her IRA, and Joseph H. Agranoff, Individually and as Trustee on behalf of his IRA vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Robert M. Rosen Case Number: 09-04362 Hearing Site: Columbu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03040 Ronald Richard Brown, Jr. Respondent Hearing Site: Charlotte, North Carolina Wells Fargo Advisors, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald Richard Brown, Jr., hereinafter referred to as "Claimant": Christopher M. Whelchel, Esq., Gray, Layton, Kersch, Solomon, Furr & Smith, P.A., Gastonia, Nor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Daniel V. Igoe Respondents John Anthony Orlando Mickey Paul McLellan Peter Donald Andolpho. Jr. American Vision Financial Group, Inc. Michael Edward Petrusha Case Number: 09-04594 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Non-Member and Associated Person. REPRESENTATION OF PARIES Daniel V. igoe, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04586 Staton Family Investments, Ltd. Daniel C. Staton Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch Bank USA Merrill Lynch Bank & Trust Company FSB Christopher Dale Jacobs Margot M. Dwyer James R. Dickson Gerald Andres Schwinn, Jr. The Jacobs Team Nature of the Dispute: Cus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joan Martin (Claimant) vs. Wells Fargo Advisors, LLC as successor to Wachovia Securities, LLC (Respondent) Case Number: 10-00548 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joan Martin, hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New York, NY. Respondent Wells Farg

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Eric J. Flaim (Respondent) Case Number: 10-00400 Hearina Site: Manchester, New Hampshire Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kan