AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Abbott Hess, Individually and as Trustee and Beneficiary of the Peter A. Hess Irrevocable Investment Trust for the Benefit of Mary A. Hess vs. Case Number: 10-00962 Hearing Site: Chicago, Illinois Name of Respondent Kathryn G. Kennedy NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Mary Abbott Hess,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent Morgan Stanley Smith Barney. LLC vs. Case Number 10-01036 l-iearing Site: Chicago, Illinois Name of Respondent/Counter-Ciaimant Michael Palmer NATURE OF THE PI8PUTE Member vs. Associated Person REPRESENTATIgN OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimanf) was represented by Renan Sugamnan, Esq., Renan Sugamnan, P.C., Ch

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Emmett E. Carter, Jr. individually, and on behalf of the Emmet E. Carter, Jr. Individual Retirement Account Names of the Respondents James R. Holdman Leslie M. Hausse Scott D. Johnson NWT Financial Group, LLC Penson Financial Services, Inc. Case Number: 09-04093 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Memb

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05050 UBS Financial Services, Inc. (Claimant) vs. Robert C. Isom (Respondent) REPRESENTATION OF PARTIES: For Claimant UBS Financial Services, Inc.: Edward C. Nowak, Esq. and Steven P. Pherson, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of bre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02524 Leonard J. Massello Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Leonard J. Massello, hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants " Case Number: 10-02050 Max G. Manack Byron Meads John Wyllys Names of the Respondents Hearing Site: Boca Raton, Florida Milton and Dorothy Aronowitz Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Max G. Manack ("Manack"), Byron Meads ("Meads") and John Wyllys ("Wyllys"), hereinafter collectively re

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00405 Wells Fargo Advisors Financial Network LLC, f/k/a Wachovia Securities Financial Network, LLC Name of the Respondent Hearing Site: Raleigh, North Carolina Richard Cobb Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Secur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 10-00260 Bradley Louis Dreyer Names of the Respondents Hearing Site: Oriando, Florida Christopher J. Perrott Perrott, Mather & Gilday, Inc. Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bradley Louis Dreyer, hereinafter referred to as "Claimant": Eric M. Rolinson, Esq., Emeri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05958 Octavio Torres, a/k/a Andrew Torres Name of Respondents Hearing Site: San Diego, California Hartford Life Distributors f/k/a Planco Financial Services, LLC David Zappone David Walker Nature of Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Octavio Tones, a/k/a Andrew Tones, h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07231 Sonie Kim Respondents Hearing Site: Los Angeles, California United Equity Securities, LLC William Brown Park Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Sonie Kim, hereinafter referred to as "Claimant": Leonard Steiner, Esq., Steiner & Libo, Beveriy Hills, California. Respondents,