AWARD FINRA DISPUTE RESOLUTION CASE: 09-05256 Merrill Lynch. Pierce. Fenner & Smith. Incorporated (Claimant) vs. Jeffrey Gavigan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey M. Csercsevits. Esq.. Rubin. Fortunate & Harbison. PC . Paoli, PA. Respondent appeared pro se. Arlington. TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 10. 2009 CASE SUMMARY.- Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leerink Swann LLC (Claimant) vs. Martin J. Joyce (Respondent) Case Number: 08-03941 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Leerink Swann LLC hereinafter referred to as "Claimant": David C. Casey, Esq., Littler Mendelson. P.C., Boston, MA. Respondent Martin J. Joyce hereinafter referred to as "Re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03736 Paul Rodeheffer (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young. Jr.. Esq . Colling. Gilbert. Wright & Carter. Orlando. FL. For Respondent appeared Kendra S. Canape. Esq., Keesal, Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 17. 2009 CASE SUMMARY: Claimant asserted the following causes of

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley & Co., Inc. vs. Name of Respondent L. Marvin Boyce Case Number 09-02837 Hearing Site: Charieston, West Virginia Memt)6r vs. Associated Person REPRESENTATIQM OF PARTIgS Morgan Stanley & Co., Inc. ("Claimant") was represented by Renan I. Sugannan, Esq., Law Offices of Renan I. Sugarman, PC, Chicago, Illinois. L. Man/in Boy

STIPUI-ATED AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Helen R. Prasil, Individually and Helen R. Prasil as Trustee of John J. Prasil and Helen R. Prasil Revocable Tnjst vs. Case Number: 09-00388 Hearing Site: Minneapolis, Minnesote Names of Resoondente Ameriprise Financial Sen/ices, Inc. & Co., Inc., Randall D. Ehleringer, Kari L. Douglas, Patty O. Nash, John Marie Janes, and Ehierin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01470 Naresh K. Jain and Santosh K. Jain Respondent Hearing Site: San Francisco, California Scottrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Naresh K. Jain and Santosh K. Jain, hereinafter collectively referred to as "Claimants": Naresh K. Jain, pro se, Antelope, Califbmia. Respondent, Scottrad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 08-04786 Simon Davkl Lewis I_auren8 Hamilton Rhinelander Christopher Blake Cohn Name of the Respondents Hearing Site: San Diego, California UBS Financial Services Inc. UBS Securities LLC Name of the Counter-Claimant UBS Financial Services Inc. Name of the Counter-Respondents Simon David Lewis Laurens Hamilton Rhinelander

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01986 Abraham Macias Respondents Hearing Site: Houston. Texas Merrill Lynch, Pierce, Fenner & Smith, Incorporated. Eric M. Wolfe Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Abraham Macias, hereinafter refened to as "Claimant": William Kimball, Esq., and Jeffrey L. Jackson, Esq., Law Off

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William G. Ortner (Claimant) v. Barclays Capital, Inc. (Respondent) Case Number: 09-02848 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William G. Ortner hereinafter referred to as "Claimant": Jonathan S. Shapiro, Esq.. The Shapiro Firm, LLP, New Yori^. NY. Respondent Barclays Capital, Inc.. hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wernert Associates, Inc. and Wernert Construction Management LLC (Claimants) vs. UBS Financial Services, Inc., and Chase Investment Services Corp. (Respondent) Case Number: 09-02865 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Wernert Associates, Inc., ("Wernert") and Wernert Construction Management LLC (*Wern