Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03433 Ken Rubin Name of Respondents Hearing Site: San Francisco, California Joan Perry Take Charge Financial! Nature of the Dispute: Non-Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Ken Rubin, hereinafter referred to as "Claimant": Ken Rubin, pro se, Half Moon Bay, California. Respondents, Joan Peny

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05005 Wells Fargo Advisors, LLC (Claimant) vs. Richard L. Coale (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas B. Lewis, Esq., Stark & Stark, Lawrenceville, NJ. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 4, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note and breac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-04721 Guy Abbanat Respondent Hearing Site: Boca Raton, Florida UBS Financial Sen/Ices, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Guy Abbanat, hereinafter referred to as "Claimant": James R. Hubbard, Esq. and Jennifer Rodriguez, Esq., Liddle & Robinson, L.L.P., New York, New York. For UBS Financial

stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 10-01398 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent Hearing Site: Washington, D.C. Christopher M. Cunningham Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Daniel S. Fiore, Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01972 Deborah Traficante Respondents Hearina Site: Washington. D.C. UBS Financial Services Inc. James Leslie Lacey, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Deborah Traficante, hereinafter referred to as "Claimant": Walter Birkel, Esq., Law Offices of Walter G. Birkel, Washington, D.C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05894 John Hart Respondents Hearing Site: Tampa, Florida UBS Financial Services Inc. Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For John Hart, hereinafter referred to as "Claimant": Jeffrey R. Sonn, Esq., Sonn & Erez, PLC, Fort Lauderda

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Claimant Case Number: 09-07226 UBS Financial Services Inc. Respondent Hearina Site: Atlanta, Georgia Kenneth Walters Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Jordan D. Weinreich, Esq., Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, New Jersey.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Shirley Enlow, Individually, and as Trustee of the Ron L. Enlow Tmst vs. Case Number: 08-01969 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Charles Banrett Campbell, and Wilbanks Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Shiriey Enlow, Individually, and as Trus

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Woodbury Financial Services, Inc. vs. Case Number: 10-02308 Hearing Site: Minneapolis, Minnesota Name of Respondent Brett Bauer NATURE OF THE PfSPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Woodbury Financial Services, Inc. ("Claimant") was represented by Julie H. Firestone, Esq., Briggs and Morgan, Minneapolis, Minnesota. Bret

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Names of Claimants John W. Potter and Delpha Potter, TTEES U/A DTD 12/13/95 for R.D. Potter Living Trust, John W. Potter IRA. and Delpha Potter IRA vs. Case Number: 09-04063 Hearing Site: Dallas, Texas Names of Respondents Edward Jones & Co., LP., Bruce A. Martin, and Patrick W. Gilkey NATURE QF THE DISPUTE Customers vs. Member and Associated Persons REPR