Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-01363 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Boise, Idaho Jeffrey P. Schoen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter refenred to as "Claimanf or "Wells Fargo": Christopher

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05199 Ameriprise Financial Services, Inc. Respondent Hearing Site: Los Angeles, California John R. Aitken Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Financial Sen/ices, Inc., hereinafter referred to as "Claimant": Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Michigan. Respondent

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01060 Joe Miller Bazzell Name of Respondent Hearing Site: San Francisco, California Sammons Securities Company, LLC Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Joe Miller Bazzell, hereinafter referred to as "Claimant" or "Bazzell": Pro se, Lafayette, California. Respondent, Sammons Securities Co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-06979 SagePoint Financial, Inc. Name of Respondent/Counter-Claimant Hearing Site: Phoenix, Arizona Steven Craig Connors Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, SagePoint Financial, Inc., hereinafter referred to as "Claimant": Michael B. Cosentino, Esq., Seeg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06903 Maureen E. Perfect Respondents Hearing Site: Phoenix, Arizona Dylan Blu Minor David F. Neunuebel Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Maureen E. Perfect, hereinafter referred to as "Claimant": Chris D. Barski, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06115 John W. Oughtred Name of Respondents Hearing Site: Denver, Colorado E*Trade Securities LLC E*Trade Clearing LLC Stuart Allan Torrey Robert Jarrett Lilien Nature of Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant, John W. Oughtred, hereinafter refenred to as "Claimanf: Jason M. Kueser,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03357 Saul Witenoff, Individually, and as Trustee of the Saul Witenoff Revocable Trust dated December 13, 1999 (Claimants) vs. Wells Fargo Advisors, LLC, Successor in Interest to Wachovia Securities, LLC and Shen/vyn Joel Labovitz, Jointly and Severally (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Stephen L. Witenoff, Esq., Thomas, DeGrood & Witenoff, P.C., Southfield, Ml. For Respondents appeare

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Claimant) vs. Vincent John Donohue (Respondent) Case Number: 10-01913 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Merrill Lynch"), hereinafter referred to as "Claimant": Jeffrey M. Csercsevits, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Leslie Neal Buch (Respondent) Case Number: 09-01343 Hearino Site: New York, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC. hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC. New York, NY. Respondent Leslie Neal Buch. hereinafter referred to as "Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marvin Levin and Stefani Levin (Claimants) vs. Lehman Brothers, Inc., Barclays Capital, Inc., Ralph C. Wileczek, David Ian Kay, Jennifer M. Lee, and Scott Taylor Sheffer (Respondents) vs. Frank Leroy Couison, III, James Boothby, Jennifer M. Lee, and Barclays Capital, Inc. (Third Party Respondents) Case Number: 08-04394 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute