Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mouna H. Hashem (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number. 10-01767 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mouna H. Hashem, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Cynthia Rollings, Esq., Bedlock, Levine & Hoffman LLP, New York, NY. Res

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03318 TD Ameritrade, Inc., a New York Corporation (Claimant) vs. Victor N. Hass, an individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, (nc, Bellevue, NE. Respondent appeared pro se, Springfield, MO. NATURE OF DISPUTE: Member v. Customer " DATE FILED: July 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action; breach of con

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Advanced Delivery & Chemical Systems Holdings, LLC (Claimant) vs. Deutsche Bank Securities, Inc. n/k/a Deutsche Bank Alex Brown (Respondent) Case Number: 08-02908 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Advanced Delivery & Chemical Systems Holdings, LLC, hereinafter referred to as "Claimant": Joseph J. Sulli

Award FlNF^ Dispute Resolution In the Matter of the Ariiitration Between: Name of Claimant Case Number 09-02724 Shelby Joy Rothman Name of Respondents Hearing Site: Los Angeles, California Woodbury Financial Services, Inc. Opinder Kaur Marwah Nature of Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shelby Joy Rothman, hereinafter refenred to as "Claimanf: William K. Brewer, Esq.. San Diego,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04455 Alan S. Zelenski (Claimant) vs. Richard Bucaro, Jeffrey Thiele, and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Vienna, VA. For Respondents appeared Yoonsun Chung, Esq., Greenberg Traurig, LLP, New York, NY. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: October 1, 2010 CASE SUMMARY: Claimant asserted the following causes of ac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc. (Claimant) vs. Rachael S. Rothman and Susquehanna Financial Group, LLLP (Respondents) Case Number: 10-00977 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities, Inc., hereinafter referred to as "Claimant": Charles LaChaussee, Esq., Wedbush Mor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04511 Gail Crider (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 Bonnie B. Monroe, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 6, 2010 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04651 Michael Jordan Katz (Clainnant) vs. John Thomas Financial (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Brool^lyn, NY. For Respondent appeared Robert M. Bursl^y, Esq., New Yorl< , NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unpaid commission and unlawful termination. ARBITRATOR'S REP

Award FINRA Dispute Resolution In tlie Matter of the Arbitration Between: Steven J. Tamsett (Claimant) vs. Oppenheimer & Co., Inc. (Respondent) Case Number: 10-01049 Hearing Site: Boston Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Steven J. Tamsett, hereinafter referred to as "Claimant": Peter A. Lagorio Esq., Law Office of Peter A. Lagorio, Boston, MA. Respondent Oppenheimer & Co., Inc., here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Allan Varah (Claimant) vs. Synergy Investment Group and Mark Christopher Wesley (Respondents) Case Number: 07-01849 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Allan Varah hereinafter referred to as "Claimant": Dena V. Varah, Esq., Lenczner Slaugh Royce Smith Griffin LLP, Toronto, Ontari