Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05630 Roberta Wohl, as Trustee for the Exemption B-2 Wohl Family Trust and the Wohl Family Trust, each dated 1-13-97 Respondents Hearing Site: Los Angeles, Califomia Gregory Iglow Michael Rosenmayer Oppenheimer & Co., Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Roberta Wohl, a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-07062 Elise L. Moore F. David Moore Name of Respondents Hearing Site: Phoenix, Arizona Morgan Stanley Smith Bamey Marc H. Lock Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Elise L. Moore and F. David Moore, hereinafter collectively referred to as "Claimants": Elise L Moore, Nas

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06972 Judy K. Walters Names of the Respondents Hearing Site: Tampa, Florida Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Robert Bruce Moler, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Judy K. Walters, hereinafter referred to as "Claimant," appeared pro-se. For Wa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06006 Wells Fargo Advisors, LLC Name of the Respondent Hearing Site: Raleigh, North Carolina John E. Faircloth Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levine, PLLC, Ariington. Virginia and Patr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 11 -00666 Estate of Virginia Lasher, Gloria Roder, Albert Wood, Lydia Wood, Matthew Fieber, Ronald Gonzales, Anne Solis, Mari^ Simmons, and Gene Chantler Name of Respondent Hearing Site: Denver, Colorado Jeremy Michael Hart Nature of Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants, Estate of Virginia La

MODIFIED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard R. Arispe, Jimmy A. Burke, Peggy A. Burke, Todd B. Burke, Jose J. Collado, Adela Christine Collado, Charles K. Colvin, C&C Erection, Inc., Nancy Gordon, Susan W. Hackney, Don H. Jones, Suzann 8. Jones, William A. Rhodes, Jr., Dawn Schuessler, Kenneth W. Sears, Kenneth W. Sears, Jr., Reine M. Sears, Daniel J. Sears, Kenneth W. Sears, III, Judy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04560 Daniel L. Gorman Names of the Respondents Hearing Site: Boca Raton, Florida Bear Stearns & Co., Inc. J.P. Morgan Securities, Inc., as successor to Bear Stearns & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel L. Gorman, hereinafter referred to as "Claimant": John G. Rich, Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04530 Morgan Stanley Smith Barney Name of the Respondent Hearing Site: Tampa, Florida Shane Wheeler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Todd Ratner. Esq.. Park Ratner PLC, Richmond. Virginia. Shane Wheeler, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03593 Roman Bardens Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Wachovia Securities. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Roman Bardens. hereinafter referred to as "Claimant": Jeffrey Erez. Esq. and Stefan Apotheker, Esq., Sonn & Erez, PLC, Ft. Lauderdale, Florida. For Wac

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Adam C. Singer, as Trustee for the Adam C. Singer 2004 Trust UA DTD 20FEB04 vs. Case Number: 09-01485 Hearing Site: Dallas, Texas Name of Respondent Goldman, Sachs and Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Adam C. Singer, as Trustee for the Adam C. Singer 2004 Trust UA DTD 20FEB04 ("Claimant" or "Singer")