Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leo Greenland (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 09-03856 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Leo Greenland hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutsch & Lipner, Garden City, NY. J.P. Morgan Securities, Inc., hereinafter referred to as "Respondent": Euge

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maurice C. Kelly (Claimant) vs. Rockwell Global Capital, LLC (Respondent) Case Number: 09-04496 Hearing Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Maurice C. Kelly hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Office of W. Alexander Melbardis, East Setauket, NY. Respondent Rockwell Global Ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Finkelstein (Claimant) vs. UBS Global Asset Management (US), Inc. and UBS Securities LLC (Respondents) Case Number: 08-04888 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Stephen P. Finkelstein hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P, New. York,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-04960 Marc S. Wolff and Wolff Investment Planning, LLC Name of the Respondent Hearing Site: Tampa, Florida Moors & Cabot, Inc. Nature of the Dispute: Associated Person and Non-Member vs. Member. REPRESENTATION OF PARTIES For Marc S. Wolff ("WolfT') and Wolff Investment Planning, LLC ("Wolff Investment"), hereinafter collectively

Award Data Award: $20,727.89 Interest: at the rate of 6% per annum, pursuant to Florida statute, from December 18, 2009 unttl paid Attorneys' Fees: $750.00 Costs: $1,050.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent Is liable for and shall pay to Claimant compensatory damages of $20,727.89. 2) Respondent is liable for an

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: New England Life Insurance Company and New England Securities (Claimants) vs. James Archibald (Respondent) Case Number: 09-04310 Hearing Site: Manchester, New Hampshire Nature of Dispute: Non-Member and Member v. Associated Person REPRESENTATION OF PARTIES New England Life Insurance Company and New England Securities, hereinafter collectively referred to as "Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen and Eugene Grant (Claimants) vs. Dillon Scott Securities, Inc. and Greg Scott Schaefer (Respondents) Case Number: 10-03099 SITUS: New York, New York NATURE OF DISPUTE: Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES: Helen and Eugene Grant hereinafter referred to as "Claimants": Brian J. Neville. Esq., Lax & Neville, LLP, New York, NY. Di

Case Number: 10-01986 Hearing Site: Louisville, Kentucky NA"njRgQFTHEPI8PUTI5 Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant" or "Wells Fargo") was represented by Renan 1. Sugannan, Esq., the Law Office of Renan I. Sugarman, Chicago, Illinois. Ronald Lucas Brown, 11 ("Respondent" or "Brown") did not appear. CASE INFORMATION The Statement of Claim was filed on or about April 23,2010. The Submission Agreement

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lynette Cromwell and Randall Papp vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., and Anthony Frank Provenzano Case Number: 09-04057 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lynette Cromwell ("CromweH") and Randall Papp ("Papp") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01798 UBS Financial Services inc. Respondent Hearing Site: San Francisco, California Robert Holmes Gunning Nature of the Dispute: iVIember vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services inc., hereinafter referred to as "UBSFS" or "Ctaimanf: Devin A. Donohue, Esq., Paimer, Lombardi & Donohue LLP, Los Angeles,