Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Freedom Investors Corp. (Claimant) v. Sydney V. Pinter and Kahal Shomrei Hadath (Respondents) Case Number: 09-02088 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Freedom Investors Corp., hereinafter referred to as "Claimant": Francis M. Curran, Esq., McCormick & O'Brien LLP, New York, NY. Previously represented b

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lawrence F. Haaker (Claimant) vs. Morgan Stanley & Co., Incorporated and John Dunn (Respondents) Case Number: 10-00418 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lawrence F. Haaker, hereinafter referred to as "Claimant": Johnathan Sack, Esq., Sack and Sack, New York, NY. Claimant previousl

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Calvin Theodore Samuels, Jr. (Claimant) vs. Harvey Start Berk and LPL Financial Corporation (Respondents) Case Number: 09-06621 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Calvin Theodore Samuels, Jr. ("Claimant"): Maria S. Wilson, Esq., Walker, Green, Wilson & Butler, New York,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Nina Howerton vs. Names of Respondents Chase Investment Services Corp. and Marie L. Calabrese Case Number: 09-04182 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Nina Howerton ("Claimant") was represented by Joni M. Pixel, Esq., Pixel Law Offices, PLLC, Okemo

Case Number: 09-01728 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas A. Redmond, individually and as Trustee of the Thomas A. Redmond Rev Liv Trust u/a dtd 2/26/96, Amnd'd 4/19/04, Second Amnd'd 6/20/07, ("Claimant") was represented by Joseph H. Spiegel, Esq., Joseph H. Spiegel, P.C., Ann Arbor, Miciiigan. Oppenheimer & Co., Inc. ("Oppenheimer") and Joseph Eckrich ("Eckrich"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00339 Barbara M. Willis Names of the Respondents Hearino Site: Richmond, Virginia Great American Advisors, Inc. Interactive Financial Advisors, Inc. Name of the Third Partv Respondent Leiand O. Stevens Nature of the Dispute: Customer vs. Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Barbar

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04480 Jerome J. Hurt and Theresa L. Hurt (Claimants) vs. Edward D. Jones & Co., L.P., and Brian Simmons (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Sarah M. Harless, Herrick & Hart, S.C., Eau Claire, Wl. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones & Co., L.P., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: Octobers, 2010 CAS

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04214 Wells Fargo Advisors, LLC (Claimant) vs. William Holleran (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Brighton, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 20, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim D

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03998 William H. Marshall, Jr. and Jane E. Marshall, Joint TTEE, Marshall Revocable Living Trust A (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William H. Marshall, Jr., Los Altos, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2010 CA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Amelie S. Escher (Respondent) Case Number: 10-00833 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, NJ. Respondent Amelie S. Esch