Award FINRA Dtepute Reaolution In the Matter of the Aristtration Between: Name of ttie Claimant Case Number 09-00078 Manrin E. Bruce, Trustee of the Mannn E. Bruce Living Trust Name of the Respondent Hearing Stte: Memphis, Tennessee Morgan Keegan & Company, inc. Nature of tiie Dispute: Customer vs. Memt>er. REPRESENTATION OF PARTIES For Man/in E. Boice, Trustee of the Marvin E. Bruce Living Trust, hereinafter referred to as "Claimanf: And

Award FINRA Dlaputa Reaoiutlon In the Matter of the Arbitration Between: NameoftheClaimani Case Number: 09-02853 Richard C. Osman Names of the Respondents Hearing Site: Battimore, MD James O. Wesiow Richard Michael Plant, Jr. Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Richard C. Osman, hereinafter referred to as "Claimant": Janet K. DeCosta, Esq., The Law Offices of Janet K. DeCosta, Wash

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00923 Dawson James Securities, Inc. (Claimant) vs. Clifford Schwartz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Albert J. Poliaic, Dawson James Securities, inc., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 1,2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Registered Re

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00783 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. James Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared l\1ichaei S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18, 2010 CASE SUMMARY: Claimant asserted the foll

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00455 Patricia P. Kaufman (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 Ryan R. Baicer, Esq., Bass, Berry & Sims, PLC, Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 27,2010 CASE SUMI^RY: Claimant asserted the following causes

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00284 Wells Far^o Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. Joseph Morgan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent appeared pro se, Kennerdeil, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 20,2010 CASE SUMMARY: Claimant asserted the following cause of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00107 Catherine Miner (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory L. Miner, Metairie, i-A. For Respondent appeared Mary Ann Jenkins, Esq., JP Morgan Chase & Co., Dallas, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 4, 2010 CASE SUMMARY: Claimant asserted the following causes of action: un^itability, violation of FINRA Rule

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07241 Michael Koch (Claimant) vs.UBS Financial Sen/ices, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scott K. Porsborg, Esq., Smith Bai(ke Porsborg & Schweigert, Bismarcl(, ND. For Respondent appeared Alise Johnson Henry, Esq., Bressier, Amery & Ross, P.C., Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 30,2009 CASE SUMMARY: Claimant requested the following re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06839 Christopher Carter (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Paric City, UT. For Respondent appeared i^ieredith Felde, Esq., E*Trade Securities LLC, Roseviiie, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 1,2009 CASE SUMMARY: Claimant alleged that Respondent failed to follow his instructions to tender his shares. The c

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06620 Koch Construction, Inc. (Claimant) vs.UBS Financial Sen/ices, inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scott K. Porsborg, Esq., Smith Bakke Porsborg & Schweigert, Bismarck, NO. For Respondent appeared Alise Johnson Henry, Esq., Bressier, Amery & Ross, P.C., i^liramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 18, 2009 CASE SUMMARY: Claimant requested the