Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01482 Denice S. Niethammer Respondents Hearing Site: Chariotte, North Carolina Edward Jones Robert Andrew Roth Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Denice S. Niethammer, hereinafter referred to as "Claimant," appeared pro se. For Edward Jones and Robert Andrew Roth ("Roth"), hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06757 Stephen Miller and Dawn Miller Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Stephen Miller and Dawn Miller, hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq, Sonn & Erez, Fort Lauderdale, Florida. For Merril

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Keith Houser, Individually and on behalf of Biotech Medics, Inc. vs. Case Number: 10-02366 Hearing Site: Dallas, Texas Name of Respondent Nevwest Securities Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Keith Houser, Individually and on behalf of Biotech Medics, Inc. ("Claimant") was represented by Keith G. Sm

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00386 UBS Financial Services, Inc. (Claimant) vs. James M. Porrazzo (Respondent) REPRESENTATION OF PARTIES: Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Julian W. Wells. Esq., Riker Danzig Scherer Hyland and Pelrretti, Morristown, NJ. Respondent James M. Porrazzo, hereinafter referred to as "Respondent" did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Asso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael L. Blau IRA, Thomas J. Bucknum IRA, Hans L. Carstensen III IRA, Nader Darehshori IRA. Clifford P. Diver, Jr., Peter P. Jenkins, Betsy S. Pollack, as Trustee of the Betsy S. Pollack Trust. Elaine M. Royce. and Darren R. Scandone as Trustee of the Darren R. Scandone Trust (Claimants) vs. Jefferies & Company. Inc. and Michael L. Munson (Respondents) Case Number: 09-07248 Hearing

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Greg Kipple (Claimant) vs. Wells Fargo Advisors, LLC and Wachovia Securities, LLC (Respondents) Case Number: 10-02871 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Greg Kipple, hereinafter referred to as "Claimant": David B. Wechsler, Esq., Wechsler & Cohen, LLP, New York, NY. Respondents Well

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11-00647 James and Nada Eischen Respondents Hearing Site: San Diego, California Morgan Stanley & Co. Incorporated Jonathon Mark Webster Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, James and Nada Eischen, hereinafter referred to collectively as "Claimants" or "Eischens": Matthew R. Miller, Es

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Number: 11-00646 Henry and Patrice Kankowski Respondents Hearing Site: San Diego, California Morgan Stanley & Co. Incorporated Jonathon Marie Webster Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Henry and Patrice Kankowski, hereinafter referred to collectively as "Claimants" or "Kankowskis": Matthew

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Claimant Case Number: 09-05719 A. Richard Delfs Respondents Hearing Site: Phoenix, Arizona Michael Tusan Morgan Stanley & Co. Incorporated Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, A. Richard Delfs, hereinafter referred to as "Claimant": Stephen M. Weiss, Esq., Karp & Weiss, P.C., Tucson, Arizona. Respo

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Morgan Stanley Smith Bamey. LLC vs. Case Number: 10-03345 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Stuart L. Peari NATURE OF THE DISPUTE Member vs. Associated Person •SENTATION OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimant" or "Morgan Stanley") was represented by Diane C. Fisher, Esq