Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clyde Alfonso Mason (Claimant) vs. Doley Securities, LLC (Respondent) Case Number. 10-05352 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Clyde Alfonso Mason, hereinafter referred to as "Claimant" appeared pro se. Respondent Doley Securities, LLC. hereinafter referred to as "Respondent": Harold E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan Ginsburg and/or David M. Ginsburg Test Trust (Susan Ginsburg, Trustee) (Claimants) v. Sanford C. Bernstein & Co., LLC, AiiianceBernstein Investments, Inc., Laurence H. Bertan, and Paul J. Cobuzzi (Respondents) Case Number: 10-02664 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Susan

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00101 NEXT Financial Group, Inc. (Claimant) vs. David Naefl< e (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGili, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gary Goldberg & Company, Inc., and Gary Goldberg Planning Services, Inc. (Claimants) v. Sidney Abramowitz, Leah Lebovits, and Ameriprise Financial Services, Inc. (Respondents) Case Number: 09-01975 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Gary Goldberg & Co., Inc. ("Goldber

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Elliot W. Wislar (Respondent) Case Number: 10-01344 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Joshua S. Bratspies, Esq., Riker, Danzig, Scherer, Hyland & Perretti, LLP, Morristown, NJ. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John J. Baker, Natalie N. Baker, and Hanriet B. Baker (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 09-06762 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants John J. Baker ("J. Baker"), Natalie N. Baker ("N. Baker"), and Harriet B. Baker (H. Baker"), hereinafter collec

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-05232 Wells Fargo Advisors, LLC (Claimant) vs. Steven Matuszewski (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Esq., Wells Fargo Advisors, LLC, St, Louis, MO. Respondent appeared pro se, Cockeysville, MD. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Promissory N

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05001 Wells Fargo Advisors, LLC (Claimant) vs. Kyle Hannah (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Katy, TX. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 4, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. . Claim Data Award Data

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04090 Lehman Brothers Holdings, Inc., as assignee of Lehman Brothers Inc. (Claimant) vs. Marlon Smith (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Barry S. Gold, Esq., Krebsbach & Snyder, P.C., New York, NY. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Non-Member v. Associated Person. DATE FILED: September 13, 2010. CASE SUMMARY: Claimant asserted the following ca

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02394 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. David Matthews (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Columbo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 19, 2010. CASE SUMMARY: Claimant asserted the follo