Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jefferies & Company, Inc. (Claimant) vs. Cohen Capital Partners II, LP, Cohen Asset Management, LLC, Daniel Cohen and Infinity Equitiesi LLC (Respondents) vs. Jonathan D. Sopher (Third-Party Respondent) Case Number: 08-01050 Hearing Site: New York, New York Nature of the Dispute Initial Claim: Member vs. Customers and Non-Member. Third-Party Claim: Customers vs.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04341 Kathleen S. O'Brien (Claimant) vs. Thomas J. Feely and Edward Jones (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sparta, NJ. For Respondents appeared David W. Schmidt, Esq., Lubiner & Schmidt L.L.C., Cranford, NJ. NATURE OF DISPUTE: Customer vs. Associated Person and Member DATE FILED: September 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: lack of supervis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05295 Morgan Stanley Smith Barney Name of Respondent Hearing Site: Honolulu, Hawaii Carolyn J. Haik Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, hereinafter referred to as "Claimant": Mattiiew Shurter, Esq., Morgan Stanley Smith Barney, Chicago, Illinois. Respondent Ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01085 John A. Mason Name of Respondent Hearing Site: Los Angeles, California UBS Financial Services Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, John A. Mason, hereinafter referred to as "Claimant": John A. Mason, pro se. Santa Monica, Califomia. Respondent, UBS Financial Services Inc., hereinafter r

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03985 Estate of Lula Mae McDonald (Claimant) vs. Edward Jones and Melanie Jo Housden (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Patricia Coy, Esq., Patricia Coy & Associates, LLC, Clifton, TX. For Respondents appeared Shane Duggin, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 31, 2010 CASE SUMMARY: Claimant asserted the fol

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01844 Kenneth P. Ayers, individually and as Trustee of the Kenneth P. Ayers Revocable Living Trust. U/A 4/15/2005 Name of the Respondent Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. n/k/a Wells Fargo Advisors Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Hogge vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 09-03912 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John Hogge ("Claimant") was represented by Mark Cohen, Esq., The Law Office of Mark Cohen, Austin, Texas. A.G. Edwards & Sons, Inc. ("Respondent") was represented by

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Demetrios G. Kamaris and Toni L. Kamaris vs. Case Number: 10-01040 Hearing Site: Chicago, Illinois Name of Respondent Wells Fargo Advisors, LLC NATURE OF THE PiSPUTE Customers vs. Member REPRESENTATION OF PARTIES Demetrios G. Kamaris and Toni L. Kamaris ("Claimants") were represented by Bruce D. Oakes. Esq., Oakes & Fosher, LLC, St. Louis,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul M. Seeley and Iris Seeley vs. Case Number: 09-02465 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley & Co., Inc. NATURE OF THE PISP»TE Customers vs. Member REPRESENTATION OF PARTIES Paul M. Seeley and Iris Seeley ("Claimants") were represented by Paul D. Malmfeldt, Esq. and Les Blau, Esq., Blau & Malmfeldt, Chicago, Illino

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nances of Claimants Paulus Kersten and Joann Kersten vs. Case Number: 10-00208 Hearing Site: Detroit, Michigan Names of Respondents Mutual Service Corporation, LPL Financial Corporation, and David J. Smolarek NATURE OF THE PIgPUTg Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Paulus Kersten and Joann Kersten, hereinafter collective