AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sidney Small vs. Case Number: 09-04996 Hearing Site: Chicago, Illinois Names of Respondents RBC Wealth Management n/k/a RBC Capital Maricets. LLC and Timothy David Disparte NATURE OF THE PISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Sidney Small ("Claimant") was represented by Michael Huberman, Esq. and Seth

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06545 Empire Financial Group, Inc. Name of the Respondent - Hearing Site: Tampa, FL Gregory S. Roper Nature of the Dispute: Terminated Member vs. Associated Person. REPRESENTATION OF PARTIES For Empire Financial Group, Inc. ("Empire"), hereinafter referred to as "Claimant": Todd A. Zuckerbrod, Esq., Todd A. Zuckerbrod, P.A., Boca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05842 Bob J. Starnes The Starnes Family Trust Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bob J. Starnes and The Starnes Family Trust, hereinafter collectively referred to as "Claimants": Jeffrey P. Colem

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04611 Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC ("Claimant") vs. Kenneth Lee Lannigan, Jr. ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 13, 2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04003 Merrill Lynch, Pierce, Fenner, & Smith Incorporated (Claimant) vs. Cody D. Hawkins- Fitzgerald (Respondent) REPRESENTATION OF PARTIES: For Claimant: Larry J. Lipka, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: September 7. 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Caron E. Tsapatsaris (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) Case Number: 10-00281 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Caron E. Tsapatsaris, hereinafter referred to as "Claimant": Jesse Jacobson, Andover, MA. Respondent Fidelity Brokerage Services LLC, hereinafter referred to as "R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03331 John Yousef (Claimant) vs. E*Tracle Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rocky River, OH. Claimant was previously represented by Sean P. Ruffin, Esq., Canton, OH. For Respondent appeared IVIeredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 19, 2010 CASE SUMMARY: Claimant alleged that his accoun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John S. Decorso (Claimant) vs. Chase Investment Services Corp. a/k/a JPMorgan Chase & Co. (Respondent) Case Number: 10-00305 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John S. Decorso, hereinafter referred to as "Claimant": Jason J. LeBoeuf, Esq., The Anthony Pope Law Firm, PC, Fairfield, NJ. Previousl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03524 NEXT Financial Group, Inc. (Claimant) vs. Clyde Thornburg (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGill, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. Respondent appeared pro se, Bradenton, FL. NATURDATE FILEDE OF : DISPUTEAugust 5, : 201Membe0 r v. Associated Person CASE SUMMARY: Claimant asserted the following cause of action: breach of contr

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03464 Ruth D. Goldstein (Claimant) vs. Cape Securities, Inc., James Randall Webb, and Kathi Renee Mansfield (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Atlanta, GA. For Respondents appeared Melissa Malcom, Esq., Melissa P. Malcom, LLC, McDonough, GA. NATURE OF DISPUTE: Associated Person v. Member and Associated Persons DATE FILED: July 23, 2010 CASE SUMMARY: Claimant asserted the foll