stipulated Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Fidelity Brol^erage Services LLC (Claimant) v. Stephen Beatty and Morgan Stanley Smith Barney, LLC (Respondents) Case Number: 10-05444 Hearing Site: New York, New Yorl^ Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity. Brokerage Services LLC, hereinafter referred to as "Claimant": Jennifer A. Kenedy, Esq., Loc

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ben Joseph Trust (UA DTD 12/31/82) and Epstein Real Estate Advisory Retirement Trust (UA DTD 12/31/82) (Claimants) vs. E*Trade Securities. LLC and Adam 1. Gutman (Respondents) Case Number: 09-01923 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Ben Joseph Trust (UA DTD 12/31/82) ("Ben Jo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dr. Satish Anand (Claimant) vs. Granite Securities, LLC, Obsidian Financial Group, LLC, The Investment Center, Inc., PGP Financial, Inc., Securities America, Inc., and Alfred Guy Call (Respondents) Case Number: 09-00352 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Dr. Satish Anand, hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06773 Jacqueline Picquelle (fl^a Moseman) Name of Respondent Hearing Site: San Diego, Caiifomia Scottrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Jacqueline Picquelle (fka Moseman), hereinafter referred to as "Claimant": Robert J. Benbenek, Esq., Robert J. Benbenei< , LLC, St. Louis, Missouri. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 10-02704 Brian A. Sullivan, CPA McLean Securities, LLC Name of the Respondents Hearino Site: San Francisco, Caiifomia Guy L Perego Maria A, Perego Perego Properties, LLC Perego-Oai< wood, LLC Perego-North Stafford, LLC Nature of the Dispute: Member and Associated Person vs. Customers REPRESENTATION OF PARTIES Claimants, Br

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Alan Fenster, A Professional Corporation Alan and Sandra Fenster Alan Fenster Corporate Profit & Pension Name of the Respondents J.P. Morgan Securities, inc. Robert Scott Zeiger Michael Jay Goldberg Name of the Counter-Claimant J.P. Morgan Securities, inc. Name of the Counter-Respondent Alan Fenster, A Professional Corporation Case Numbe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Master Consolidated Case Number: 07-03410 Jeffrey H. Mims, Chapter 7 Trustee for the Bankruptcy Estate of Dennis Serio Name of Respondent/Counter-Claimant Hearino Site: Dallas, Texas Wachovia Securities, LLC Consolidated with: Name of Claimant Subordinate Case Number: 07-03381 Wachovia Securities, LLC Name of Respondent Hea

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Names of the Claimants Ross Carter and Jane Carter Names of the Respondents IVlorgan Stanley Dean Witter, a/k/a Morgan Stanley & Co. Inc., and a/k/a Morgan Stanley Smith Barney Case Number: 09-07051 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael S. Brennan (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 09-04307 , Hearing Site: New Yorl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. (Claimant) v. Simeon J. Thall (Respondent) Case Number: 09-04296 Hearino Site: New Yorl< , New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Deborah Dicl< stein, Esq., Oppenheimer & Co. Inc., New York, NY. Previously represented by John T. McGuire, E