AWARD FINRA DISPUTE RESOLUTION CASE: 09-04541 Oppenhelmer& Co., Inc. vs. Lawrence Wbod SITUS: AUante, (Georgia NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES: For Claimant Oppenheimer & Co., Inc. f Ciaimanf^: Diana H. Sur, Esq., Office of the General Counsel, Oppenheimer & Co.. inc. New Yoric, New Yoric. Respondent Lawrence Wood ("Respondenf^ appeared pro se. DATE FILED: July 30, 2009 CASE SUMMARY: Ctalmant asserted a c

AWARD FINRA DISPUTE RESOLUTION CASE: Og-06086 Morgan Stenley Smith Barney LLC f/lc/a Morgan Stenley & Co., Inc. (Ctalmant) vs. Felix E. Deacon, III (Respondent) REPRESENTATION OF PARTIES. For Claimant: Todd Ratner, Esq., Paric Ratner PLC. Richmond, VA. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: October 21. 2009. CASE SUMMARY: Claimant asserted the cause of actton of feiiure to repay sums due

Award FINRA Dispute Reaolutlon In the Matter of the Arisitration Between: Name of ttie Claimant Case Number: 09-05979 Martin C. Reisner Names of the Resoondente Hearing Site: Boca Raton, Florida Suntrust Investment Services, Inc. David M. Maggio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Martin C. Reisner, hereinafter refened to as "Claimant": Charles D. Heidgerd, Esq., HeJdgerd Law Off

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Gilman, IRA (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number: 07-00281 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ronald Gilman, IRA hereinafter referred to as "Claimant": Davkl Gaba, Esq., Compass Law Group, PLLC, Seattle, WA. Respondent Morgan Keegan & Company, Inc., hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexander Moskvin and Claire Moskvin (Claimants) vs. Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Respondent) Case Number 09-03489 Hearino Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Alexander Moskvin ("A. Moskvin") and Ciaire Moskvin ("C. Moskvin"), hereinafter collectively referred to as "Claimants": St

Award FINRA Dtepute Resolution In the lAaStor of the Arbitration Between: Cteimante Case Number 09-02054 Brett L. Eliason Varonique Eliason Daydrsam Trading, LLC E. Grant Finch NBFCapitel.LLC Respondent Hearino Site: Salt Lalce City, Uteh TD Ameritrade, Inc. Nature of the Dispute: Customers vs. Memt)er Publto Ari)itrator Pilot Program/All Publto Panel REPRE8EWTATIQW OF PARTIES Cteimante, Brett L. Eliason, Veronique Eliason, Da

Stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Ctelmant Case Number 09-04768 WeHs Fargo Advisors, LLC, f/k/a Wachovte Seourtttes, LLC Name of the Respondent Hearing Site: Coiumbte, South Carolina Clifford K. Cames. Ill Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Wells Fargo Advisors, U.C, f/k/a Wachovte Securities, LLC, herelrurfler refenred to as "Cte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number 09-04186 Gordon Church Kyte Church The Tnist U/W Margaret P. Bamett Name of the Respondent Hearing Site: Attente, Georgia Sanford C. Bemstein & Co., LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gordon Church (*G. Church"), Kyte Church (*K. Church*), and The Tnist U/W Margaret P. Bamett ("BametT),

AWARD FINRA DISPUTE RESOLUTION CASE: CASE NUMBER: 10-00595 AXA Advisors, L.LC. ("Claimant") vs. Michael Volts ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Don R. Boswell, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey. Respondent did not appear. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: February 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. The cause of action

StIpulatBd Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04361 Arthur Ruiz Jr. Patty Ruiz Names of the Respondents Hearing Site: New Orleans, Louisiana Fidelity Brokerage Services, LLC Fidelity Investments Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Arthur Ruiz Jr. and Patty Ruiz, hereinafter collectively refen^ to as "Claimants," appeared pro