Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Emanuel Licht and David Evan Licht (Claimants) vs. Charles Schwab & Co., Inc., Glen Krause, and Kimon Daifotis (Respondents) Case Number: 09-02399 Hearing Site: Newarl< , New Jersey Nature of the Dispute: Customers vs. IVIember and Associated Persons. REPRESENTATION OF PARTIES Claimants Emanuel Licht ("E. Licht") and David Evan Licht ("D.Licht"), hereinafter collectively referr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05107 David J. Ferraro Names of the Respondents Hearing Site: Chariotte, North Carolina Deutsche Bank Securities, inc. Gregory L. Planck Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David J. Ferraro, hereinafter referred to as "Claimant": Jenice L. Maiecki, Esq., Malecki Law, New

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05239 UBS Financial Services Inc.: "Claimant" vs. Charies R. Norvell: "Respondent" REPRESENTATION OF PARTIES: For Claimant: James J. McNamara, Esq., Schuyler, Roche & Crisham, P.O., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 17, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of contract/unjust enrichment. The cause o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01184 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Washinaton. D.C. Justin D. Sllberman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Stephen D. Bums

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02377 Wells Fargo Advisors, LLC vs. Max Jaffee REPRESENTATION OF PARTIES: For Claimant Gregory S.Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. For Respondent Respondent appeared pro se. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 14, 2010. CASE SUMMARY: Claimant alleged breach of promissory note dated October 2, 2007, {the "Note") as the cause of action. RELIEF REQ

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03002 Chase Investment Services Corp. Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Keegan & Company, Inc. Todd Rozzo Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Chase Investment Services Corp., hereinafter referred to as "Claimant": Thomas J. Cahill, Esq., Satt

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04231 Penson Financial Services, Inc. Names of the Respondents Hearing Site: Wilmington, DE James R. McGonigle Kathleen C. McGonigle Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Penson Financial Services, Inc., hereinafter referred to as "Claimant": Jeff Logan, Vice President, Deputy General

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Donald Knicley, John W. Kearns, Frederick G. Krause, Thomas W. Leo, and Cari G. Mielnicki (Claimants) vs. Wachovia Securities, LLC f/k/a A.G. Edwards & Sons, inc. (Respondent) Case Number: 09-01992 Hearing Site: Rochester, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Donald Knicley ("Knicley"), John W. Kearns ("Kearns"), Frederick G.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00403 Matthew Lam Respondents Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Jesse Ramos Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Matthew Lam, hereinafter referred to as "Claimant": Howard M. Hoffman, Esq., Law Offices of Howard M. Hoffman, Sacramento, California. Respondents, Charl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Damon C. Reel vs. Case Number: 09-04732 Hearing Site: Rapid City, South Dakota Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Damon C. Reel ("Claimant") was represented by Richard B. Fosher, Esq., Oalces & Fosher, LLC, Bethalto, Illinois