Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abdallah G. Bseirani (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-06107 Hearing Site: Syracuse, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abdallah G. Bseirani, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York, NY. Respondent Merrill Lynch, Pierce, Fen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mitchell Schley (Claimant) vs. Barbara Bishop and Bear Stearns & Co. Inc., a subsidiary of JP Morgan Securities, Inc. (Respondents) Case Number: 09-03007 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Mitchell Schley, hereinafter referred to as "Claimant" appeared pro se. Respondents

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William E. Aaron and Michael R. Stein (Claimants) vs. Neuberger Berman, LLC (Respondent) Case Number: 09-02268 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member. REPRESENTATION OF PARTIES Claimants William E. Aaron ("Aaron") and Michael R. Stein ("Stein"), hereinafter collectively referred to as "Claimants": Stuart L. Shapiro, Esq., and Michael

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-00012 Josephine Wayman Name of Respondents Hearing Site: Los Angeles, California Securities America, Inc. Randall Ray Talbott Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Josephine Wayman, hereinafter refen-ed to as "Ciaimanf: Alton G. Burichaiter, Esq., and Joshua A. Waldman, Esq.. B

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Credit Suisse Securities (USA) LLC Respondent Enable Capital Management, LLC Third-Partv Claimants Enable Capital Management, LLC Enable Growth Partners, LP Third-Partv Respondent Jefferies & Company, Inc. Third-Partv Counter-Claimant Jefferies & Company, Inc. Third-Partv Counter-Respondents Enable Capital Management, LLC Enable Growth Partners,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05030 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: San Francisco, California Gregory Ernest Braver Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant" or "

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01181 Merrill Lynch, Pierce, Fenner & Smith Incorporated, in its own right and in its capacity as assignee of Advest, Inc. (Claimant) vs. Christopher S. Hamilton (Respondent) REPRESENTATION OF PARTIES: For Claimant: Olga Y. Wayne, Esq., Rubin, Fortunate & Harbison P.C, Paoli, Pennsylvania. Respondent Christopher S. Hamilton did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FIL

AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Hans-Dieter Neuen vs. Names of Respondents Equity Concepts, Inc. and Smith, Moore & Co. Case Number: 09-06001 Hearing Site: St. Louis, Missouri NATURE OF THE DiSPUTE Non-Member vs. Members REPRESENTATION OF PARTIES Hans-Dieter Neuen ("Claimant") was represented by Ira M. Potter, Esq., Affinity Law Group, LLC, St. Louis, Missouri. Equity C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Warren J. Meyer and Mary Ellen Meyer vs. Case Number: 09-05990 Hearing Site: St. Louis, Missouri Name of Respondent Stifel Nicolaus & Co., Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATIQN OF PARTIES Warren J. Meyer and Mary Ellen Meyer ("Claimants") were represented by Steven W. Koslovsky, Esq., Steve Koslovsky. LLC, St. Louis, Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marianne lamele vs. Name of Respondent Charles Schwab & Company, Inc. Case Number: 10-00987 Hearing Site: Houston, Texas NATURE OF THE DiSPUTE Customer vs. Member REPRESENTATION OF PARTIES Marianne lamele ("Claimant") was represented by Merritt N. Spencer, Esq., Strasburger & Price, LLP, Austin, Texas. Charies Schwab & Company, Inc. ("Respond