Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clainfiant Case Number: 10-01900 Wells Fargo Advisors, LLC, fomrierly Known as Wachovia Securities, LLC Respondent Hearing Site: Columbia, South Carolina Robert Isom Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, fomnerly known as Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew Par

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-03086 Walter Binder and Mariys J. Binder Name of Respondents Hearing Site: Helena, Montana Edward Jones Gerald E. Hughes Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Walter Binder and Mariys J. Binder, hereinafter collectively referred to as "Claimants": Sara E. Hanley, Esq.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Adam Tymrakiewicz and Rosemarie Tymrakiewicz vs. Brewer Financial Services, LLC and Jason Michael Mutascio Case Number: 10-03756 SITUS: Detroit, Michigan NATURE OF DISPUTE: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Adam Tymrakiewicz and Rosemarie Tymrakiewicz ("Claimants") were represented by Stephen R. Baylerian, Esq., UAW Legal Services Plans, Sterli

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Larry Wayne Addams vs. Name of Respondent Money Concepts Capital Corp. Case Number: 10-04675 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Larry Wayne Addams ("Claimant") appeared pro se. Money Concepts Capital Corp. ("Respondent") was represented by Kathy M. Klock, Esq., Fowl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04799 Loretta J. Forer Daniel B. Forer Respondent Hearing Site: Miami, FL Citigroup Global Markets, Inc., d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Loretta J. Forer and Daniel B. Forer, hereinafter collectively referred to as "Claimants": D.S. "Dar" Airan, Esq. and Robert E. Stone, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04508 Jack D. Vincent (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Kathryn J. Bushby, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Octobers, 2010 CASE SUMMARY: Claimant asserted the follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05209 Wells Fargo Advisors, LLC (Claimant) vs. Thomas O'Malley (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Memphis, TN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 16, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note and sett

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00645 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. John E. Burke (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Andrew G. Gioia, Esq., Rubin, Fortunate & Harbison P.C., Paoli, PA. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 14, 2011. CASE SUMMARY: Claimant asserted the following causes of actio

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04017 Wells Fargo Advisors, LLC (Claimant) vs. Jess Perez (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, San Rafael, CA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 8. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of fee fronting program - overpaym

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Gillin (Claimant) vs. Syndicated Capital, Inc. (Respondent) Case Number: 10-02272 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Gillin, hereinafter referred to as "Claimant": Marc A. Susswein, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Syndicated Capital, Inc., here