AWARD FINRA DISPUTE RESOLUTION CASE: 10-04891 UBS Financial Services Inc. (Claimant) vs. Charles V. Greco (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Pueblo, CO. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 29, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjust enr

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05043 UBS Financial Services Inc. (Claimant) vs. Linda Lawson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se. Flushing, Ml. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 5, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note and unjus

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04307 Watkins Brothers Trust (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Wayne McPherson, Esq., McPherson Law Office, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq., Bass Berry Sims, PLC, Memphis, TN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Boston Property Exchange Transfer Company, Inc. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 10-03330 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Boston Property Exchange Transfer Company, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) v. Robert A. Kantor (Respondent) Case Number: 09-05685 Hearlno Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co., Inc., New York NY. Respondent Robert A. Kantor, hereinafter re

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clalmant/Ccunter-Respondent Raymond James & Associates, Inc. vs. Case Number 09-05994 Hearing Site: Dallas, Texas Name of ResDondent/Counter-Clalmant Wiilard Henry White NATURE OF THE PI8PUTE Member vs. Associated Person REPRESENTATION QF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Kelll Bulllngton. Esq., Raymond Ja

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Name of Claimants Case Number 09-02990 Stephen Metsch Sharon Metsch Name of Respondents Hearing Site: Los Angeles, Cal'ifomia E-Planning Securities, Inc. Ian Filippini Clifford Gamble Scott Hultsman Linda Sechser Nature of Dispute: Customers vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimants, Stephen Metsch and Sharon Metsch, hereinaf

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number 09-06644 G. Arnold Lawton G. Arnold Lawton Tmst U/A dtd 03/11/2004 Name of Respondents Hearino Site: San Francisco, California Wells Fargo Investments, LLC Jack Wong Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. G. Arnold Lawton ("Lawton") and G. Arnold Lawton Tmst U/A d

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07255 Jean Caesar-Brown Respondents Hearing Site: Miami, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Mark E. Johnson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jean Caesar-Brown, hereinafter referred to as "Claimant": Wesley L. Clarke, Esq., Law Offices of Wesley L. Clarke, Washington, D

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00406 Royal Alliance Associates, Inc. (Claimant) vs. Peter J. Bonnell, III (Respondent) REPRESENTATION OF PARTIES: For Claimant: Lauren Lezak, Esq., Royal Alliance Associates, Inc., New Yoric, New Yori^. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 28. 2011 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and