Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01072 John Z. Zarich Name of the Respondent Hearing Site: San Francisco, California Merriman Curhan Ford & Co. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant John Z. Zarich, hereinafter referred to as "Claimant": James Collins, Esq., O'Reilly Collins, San Mateo. California. Respondent Merriman Curhan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07256 Phillip R. Semenicl< Name of the Respondent Hearing Site: Boca Raton, Florida Chicago Investment Group, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Phillip R. Semenicic, hereinafter referred to as "Claimant": Joseph E. Gasperetti, Esq., Joseph E. Gasperetti, P.C, New York, New York.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John P. Walsh, Jr. Marc Bonifacio John Hurd Names of the Respondents Pritchard Capital Holding, LLC Thomas W. Pritchard Todd Giustiniano Case Number: 09-06410 Hearing Site: New Orteans, Louisiana Nature of the Dispute: Associated Person vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For John P. Walsh. Jr. ("Walsh"), Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04824 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Charlotte, North Carolina Shawn Colin Newman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonatha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04380 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Oriando, Florida Paul A. Fischetti Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02449 Donald E. Lingle (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared G. Wayne Hillis, Jr., Esq., Parker, Hudson, Rainer & Dobbs LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 17. 2010 CASE SUMMARY: Claimant asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02239 Dorothy Fuchs, Dorothy Fuchs Roth IRA, and Dorothy Fuchs IRA R/0 (Claimants) vs. Richard Jay Caplin (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Steven C. Fuchs, Stony Brook, NY. For Respondent appeared Eugene L. Small, Esq., Gibbons P.C, New York, NY. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: May 11, 2010 CASE SUMMARY:, Claimants asserted the following cause of acti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jerry W. Czin (Respondent) Case Number: 09-04150 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Diana Sur, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent Jerry W. Czin hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James D. Dunning, Jr. (Claimant) v. Martin Shafiroff, Brian Hirsch, and Barclays Capital Inc. (Respondents) Case Number: 09-02630 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant James D. Dunning, Jr., hereinafter referred to as "Claimant": Jon Paul Robbins, Esq., McLaughlin & Stern, LLP, New Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Russell (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 09-02468 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David Russell ("Claimant"): Nelson S. Torre, Esq., Law Office of Nelson S. Torre, Buffalo, NY. Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.