AWARD FINRA DISPUTE RESOLUTION CASE: 10-03815 Kimberly S. McCloud (Claimant) vs. Morgan Stanley & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Fe, NIVI. For Respondent appeared Melissa M. Muehlfeld, Esq., Morgan Stanley Smith Barney LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 24. 2010 CASE SUMMARY: Claimant asserted the following causes of action: wrongful conduct, breach o

MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 10-03774 UBS Financial Services, Inc. (Claimant) vs. Michael P. Guidroz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 23, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of c

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC (Claimant) vs. Dennis B. Briscoe (Respondent) Case Number: 09-05369 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTiES Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Brady J. Hermann, Esq. and Deborah G. Evans, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. De

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marta Toscano and Robert M. Toscano (Claimants) vs. Chase Investment Services Corporation and Marshall H. Foster (Respondent) Case Number: 10-00672 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimants Marta Toscano ("M. Toscano") and Robert M. Toscano ("R. Toscano"), hereinafter collectively refer

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Doreen A. Solazzo (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-05487 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Doreen A. Solazzo, hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Mahr and Mahr, LLC, Madison, NJ. Respondent Merrill Lynch, Pierce, Fe

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Christian V. Quege (Respondent) Case Number: 09-01969 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": David L. Ward, Esq., and Cliff G. Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Schaper IRA, Estate of Ethel Schaper, Ethel Schaper Charitable Trust, Douglas Schaper Trust, Elizabeth Schaper, and Estate of Armin Schaper (Claimants) vs. Paul John Olivo, Anthony John D'Aquila, Jr. and Citigroup Global Markets, Inc. (Respondents) Case Number: 08-04482 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph Rich and Lenore Rich vs. Case Number: 10-01708 Hearing Site: Detroit, Michigan Names of Respondents Comerica Securities, Inc. and Dan i. Barish NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph Rich and Lenore Rich ("Claimants") were represented by Anthony V. Trogan, Jr., Esq., Anthony

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Lori Bridges, Trustee of the Alvin L. Bridges Irrevocable Trust DTD 06/06/91 vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 09-05996 Hearing Site: Indianapolis, Indiana NATURE Oi= THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lori Bridges, Trustee of the Alvin L. Bridges Irrevocable Trust DTD 06/06/91 ("Claima

stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimants Case Number: 09-01823 Stephen Andrew Hoen Andrew Cap Leo Joseph Walker Allison Jo Alley Name of Respondent Hearina Site: San Diego, Califomia Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Counter-Claimant Banc of America Investment Services. Inc. n/k/a Merrill Lynch