Award FINRA DIeputo ReMMIon In the mMBf of the ArbitrBOon Between: Claimanfc fiasjjumbsn 09-01188 Anna Campbell Reanondania: HaarinaSita: San Frandeco, Caltfbmia GunnAllan Hnandal, ln& DonaU Raymond Dunakin, Nature of the Dispute: Cuslomarvs. Member and Asaociaiad Pareon REPRESENTATIOM OF PARTIES Claimant Anna Campbell, hareinanBr referred to as "ClaimanT: Thomas C. Bradley, Esq., Sinai, Schroedar, Moonay, Boetach, Bradley & Pace, Ren

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Artattration Between: Name of Claimant Ite Mellul va. Caae Number 08-03976 Hearing Stte: Chicago, Illinoia Namea of Respondente M Holdings Securities, Inc. and Davkl Allan Marcus MATURE OF TOE DiaPUTg Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Ite Mellul ("Claimant^ was represented by Lawrence A. Roaen, Eaq., Roaen & Associates, Hightend Paric,

AWARD FINRA DIaputo Reaolutlon In the Matter of the Arbttration Between: Name of Claimant Carol N. Halonen, Indivtoually and as Beneficiary of the Carol N. Halonen IRA vs. Case Number 10-00217 Hearing Stte: Minneapolis, MInnesote Name of Respondent Gerald Billte Gries NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Carol N. Halonen, Individually and as Benefidary of the Carol N. Halonen IRA, hereinafter

AWARD FINRA Dteputo Reaolutlon In ttie Matter of ttie Art>ttratton Between: Nanw of Cteimant Saengnakhom P. Cinq-Mara va. Caae Number 09-06471 Hearing Site: Mlnnaapolto, Minneaote NameofReapondent WeHa Fargo Invaabnente, LLC NATURE QF THE PISPUTE Associated Person va. Member RgPRgagMTATION QF PARTiea Saengnakhom P. Cinq-Mars fClaimanfO appeared pro aa. Wella Fargo Invesbnente, LLC ("Respondent") was represented by Renan Sugannan,

AWARD FINRA DIaputo Resofutlon In the Matter of the Arisibation Between: Namea of Claimante Anthony Fortune and Frances Fortune vs. Case Number 09-03970 Hearing Site: Deboit, Michigan Namea of Respondent^ Wachovia Securities, LLC and Craig Harrington MATURgQF THE DISPUTE Customere vs. Member and Associated Person REPRESENTATION QF PARTIES Anthony Fortune and Frances Fortune, hereinafter collectively refened to as "Claimante," were rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Alan Tekavec vs. Case Number 09-01561 Hearing Site: Cleveland, Ohio Names of Respondents Franic Patrick Cunnane and Wachovia Securities, LLC NATURg QF THg DISPUTE Associated Person vs. Member and Associated Person REPRESEMTATIQM QF PARTIES James Alan Tekavec ("Claimanr) was represented by Neil D. Petkovic, Esq., Brian P. Biggins & Assoc

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Oppenheimer & Co.. Inc. (Claimant) vs. Morton G. Gropper and Bruce A. Gropper (Respondents) Case Number: Oa-02792 Hearing Site: New Yori^, New Yoric Nature of the Dispute: Member vs. Associated Persons REPRESENTATION QF PARTIES Oppenheimer & Co. Inc., hereinafter refened to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co., inc.. New York, NY. Morton G. Gr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank James Aitomaro (Claimant) vs. RBS Securities inc. (Respondent) Case Number 09-06800 Hearina Site: New Yorit, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Franic James Attomaro hereinafter referred to as "Ciaimanf appeared pro se. Respondent RBS Securities Inc.. hereinafter referred to as "Respondent": Amy Gare, Esq., RBS

Award FINFIA Dispute Resolution in the Matter of the Arbitration Between: Herbert and Beverly Goidfarb (Claimante) vs. Sanford C. Bernstein & Co.. LLC and Peter Geiwarg (Respondents) Case Number 09-02154 Hearina Site: Newaric, New Jersey Nature of the Dispute: Customers vs. Memt}er and Associated Person REPRESENTATION OF PARTIES Hert)ert Goidfarb ("H. Goidfarb") and Beverly Goidfarb ("B. Goidfarb"), hereinafter referred to as "Claimants": Brian H. Re

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Bebween: Name of Cteimant Linda Whitesell vs. Case Number 09-03911 Hearing Stte: Chicago. Illinoia Namea of Respondente Edward D. Jones & Co.. LP. and Bruce W. Biedar MATURE OF THE DISPUTE Customer vs. Member and Aaaociated Person REPRESEMTATIQM QF PARTIES Linda Whitesell ("Cteimant*) was represented by Sandor Grossman. Esq.. Law Office of Sandor Grossman, Chic