Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05914 James M. Biggins Eygeniya Kalashnikova-Biggins Name of the Respondent IHearinq Site: Washington. D.C. Phillip Wayne Conley Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES James M. Biggins and Eygeniya Kalashnikova-Biggins, hereinafter collectively referred to as "Claimants," appeared pro se

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06874 Sakurako Sugihara (Claimant) vs. Machiko Okamoto and Paulson Investment Company Inc. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Romaine Gardner, Esq., Lincoln Square Legal Services, New York, NY. For Respondent Machiko Okamoto ("Okamoto") appeared Steven Martin, New York, NY. For Respondent Paulson Investment Company, Inc. ("Paulson") appeared Richard J. Babnick, Esq., Sichenzia Ro

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02673 John J. Daversa (Claimant) vs. Ken Cole and Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Mobile, AL. For Respondents appeared Melinda L. Peevy, Esq., and Julie Wilson Portera, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: June 4, 2010 CASE SUMMARY: Claimant ass

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05012 Wells Fargo Advisors, LLC (Claimant) vs. Teddy R. Ezzell, III (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 3, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of Retention Award Agree

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04312 SagePoint Financial, Inc. (Claimant) vs. Keith A. Golden (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Louis D. Tambaro, Esq., Marks & Klein, LLP, Red Bank, NJ. Respondent appeared pro se, West Palm Beach, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, breach of promissor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Lobaito, Jr. (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 09-06450 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Joseph A. Lobaito, Jr., hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Responden

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Halen, Raymond Doyle, Peter Doyle, Samual Suhaka, and Lawrence Stavitski (Claimants) v. Randolph Lee Hill and Heartland Securities Corp. (Respondents) Case Number: 10-02883 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Persons vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Michael Halen ("Halen"), Raymond Doyle ("R. Doyl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04428 Darlene J. Gordon (Claimant) vs. MetLlfe Securities, Inc., and Eric T. Glod (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Uniontown, PA. For Respondents appeared Samuel E. Cohen, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Philadelphia, PA. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: September 29. 2010 CASE SUMMARY: Claimant asserted the follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05353 Donald R. Toussaint (Claimant) vs. BNY Mellon Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Camarillo, CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 26, 2010 CASE SUMMARY: Claimant alleged monetary damages arising from his inability to exercise the subscription rights associated with his 401K by the

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04747 Robert Fortinsky and Barbara Shadie (Claimants) vs. Frank Smookler and Brookville Capital Partners, LLC (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Allan M. Kluger, Esq., Hourigan, Kluger &. Quinn, P.C., Kingston, PA. For Respondents appeared Brett D. Zinner, Esq., Law Offices of Brett D. Zinner, P.C., New York, NY. j NATURE OF DISPUTE: Customers vs. Associated Person and Member