AWARD FINRA DISPUTE RESOLUTION CASE: 10-00993 Diane N. Loper (Claimant) vs. UBS Financial Sen/ices Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Oconomowoc, Wl. For Respondent appeared Alise Johnson, Esq., Bressler. Amery & Ross, Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: loss of principal. The cause of action relates to unspe

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00790 George M. Hunley, Jr., and Ada M. Hunley (Claimants) vs. Stu Fisher and Edward Jones (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared George M. Hunley, Jr., Kingsport, TN. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customers v. Associated Person and Member DATE FILED: February 17. 2010 CASE SUMMARY: Claimants asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00565 Oppenheimer & Co., Inc. (Claimant) vs. Christopher N. Benedict (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Devin A. Donohue, Esq., Los Angeles, CA and Diana Sur, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Woodland Hills, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 4, 2010 CASE SUMMARY: Claimant asserted the following causes of act

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00517 Brian W. Siulinski (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pflugerville, TX. For Respondent appeared Meredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 30. 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and failure to execute. The caus

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07095 Eric Lawrence Weinstein (Claimant) vs. Citicorp Investment Services (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. North Merrick, NY. For Respondent appeared Patrick A. Fitzpatrick, Esq., Citi Personal Wealth Management, New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 18, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05755 Michael J. Sorensen and Angela F. Sorensen (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Adam J. Gana, Esq., Napoli Bern Ripka, LLP, New York, NY. For Respondent appeared Teresa E. Adams. Esq., Parker, Hudson, Rainer & Dobbs, LLP, Atlanta, GA. NATURE OF DISPUTE: Customers v. Member DATE FILED: October 5, 2009 CASE SUMMARY: Claimants assert

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Jesup & Lamont Securities Corp. (Claimant) vs. Aaron Foley (Respondent) Case Number: 10-00038 Hearing Sfte: Boston, Massachusette Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Jesup & l-amont Securities Corp.. hereinafter referred to as "Claimant": Michael S. Colombo, StreetWide Asset Recovery Group, Inc.. Hazlet, NJ. Respondent Aaron Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin T. Grier (Claimant) vs. Keybanc Capital Markets, Inc. (Respondent) Case Number: 09-06039 Hearing Site: New York. New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kevin T. Grier, hereinafter refenred to as "Claimant": David B. Wechsler, Esq., Wechsler & Cohen. LLP. New Yoric, NY. Respondent Keybanc Capital Maricets. Inc.. her

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00770 John J. Schmidt (Claimant) vs. Fidelity Brokerage Services LLC and Kenneth A. Finkelson (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Northbrook, IL. For Respondents appeared Michael P. Zwirko, FMR LLC, Boston, ^AA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 16. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00994 Black Rose Equity Management, LLC (Claimant) vs. Eugene L. Williams, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sandra P. Espinosa, Esq., Lax & Neville, LLP, New York, NY. Respondent appeared pro se, Portland, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 2, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjust