Awarci FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Lawrence R. Gilmore Respondents Michael G. Eathorne Capital Financial Services, Inc. Scott T. Brandt Lighthouse Capital Corporation Provident Asset Management, LLC Brendan W. Coughlin Henry D. Harrison Counter-Claimants Capital Financial Services. Inc. Michael G. Eathorne Counter-Respondent Lawrence R. Gilmore Case Number: 09-06153 H

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Case Number: 10-03894 UBS Financial Services, Inc. Name of Respondent Hearing Site: Portland, Oregon Gilbert B. Pugliano Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "UBS" or "Claimant": Devin A. Donohue, Esq., Palmer, Lombardi & Donohue, LLP, Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George H. Comeau (Claimant) v. Oppenheimer & Co. Inc. and Gary Chiate (Respondents) Case Number: 09-05038 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George H. Comeau, hereinafter referred to as "Claimant": Edward H. Glenn, Jr., Esq., Zamansky & Associates, LLC, New York, NY. Claimant previ

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03031 Robert L. Seiwell (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Coopersburg, PA. For Respondent appeared Erin K. Fair, FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 28, 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and failure to execute. The causes of action relate to PVX

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan M. Arnett, MD (Claimant) vs. J.P. Morgan Securities, Inc., as successor in interest to Bear Stearns Clearing Corp., Lloyd Scott & Valenti, Ltd., Western Securities Clearing Corp., and Robert William Kramer (Respondents) Case Number: 09-04760 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03448 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC vs. Orin Port SITUS: Boca Raton, Florida REPRESENTATION OF PARTIES: For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "Wells Fargo": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Orin Port, hereinafter referred to as "Respondent," did not appear. NATURE OF DISPUTE: Member

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02930 Wells Fargo Advisors, LLC, formeriy known as Wachovia Securities, LLC (Claimant) vs. Deward T. Lawrence (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent appeared pro se, Cathedral City, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 23, 2010 CASE SUMMARY: Claimant asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02887 Fidelity Brokerage Services, LLC (Claimant) vs. Michael Picarella REPRESENTATION OF PARTIES: For Claimant appeared Melissa Hegger Shea, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Member v. Customer Respondent appeared pro se, Melville, NY. DATE FILED: June 18, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to remit balance owed on account. The cause of action relates to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01949 Patricia Spencer (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. New York, NY. For Respondent appeared Logan S. Fisher, Esq., Bressler, Amery & Ross, Florham Park, NJ. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: holding account captive without justification

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC (Claimant) vs. Henry E. Frenzel, 111 (Respondent) Case Number: 09-06470 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew P