Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00606 Callas Foundation, Inc. vs. Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Callas Foundation, Inc., hereinafter referred to as "Claimant": James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Morgan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Advisors, LLC Case Number: 10-05503 vs. Respondent William 0. Fraley Hearing Site: Birmingham, Alabama Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant Wells Fargo Advisors, LLC: Jonathan E. Levine, Esq., Fiore & Levine, PLLC, Arlington, Virginia. Respondent William C. Fraley appeared p

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ronald Cohen and Carol Cohen (Claimants) vs. Gregory T. Kwasnickl (Respondent) Case Number 11-01668 SITUS: Newark, New Jersey NATURE OF DISPUTE: Customers v. Associated Person. REPRESENTATION OF PARTIES Claimants Ronald Cohen and Carol Cohen, hereinafter collectively referred to as "Claimants": Robert I. Rabinowitz, Esq., Becker & PoliakofF, LLP. Red Bank, NJ. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimants Richard LaValley Michael Weigand Case Number: 11-01417 vs. Respondents Lincoln Financial Advisors Corporation MML Investors Services, Inc. New England Securities Garry Payne Signator Investors, Inc. Hearing Site: Syracuse, New York Nature of the Dispute: Customers vs. Members and Associated Person The case proceeded under the Opti

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Mark Stepper Case Number: 11-00437 vs. Respondents Paul E. Sheldon Michael C Tuozzoli Wells Fargo Advisors, LLC Barry M. Zuckerberg Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For Claimant Mark Stepper: Michael H. Klein, Esq., Kestenbaum, Dannenberg & Kle

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Nino Calabrese Case Number: 10-02867 vs. Respondents Thomas Jay Hurley Morgan Stanley & Co., Inc. Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant Nino Calabrese: H. Robert Boney, Jr., Esq., Somers Point, New Jersey. For Respondents Thomas Jay

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Kin Lee and Fanny Ling S. Tsui Case Number. 09-02085 vs. Respondent TD Ameritrade, Inc. Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES. Claimants Kin Lee ("K. Lee") and Fanny Ling S. Tsui ("F. Tsui"), hereinafter collectively referred to as "Claimants": Peter Mark Bizinkauskas, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant William Alonzo Brown Case Number: 11-01351 vs. Respondent Arrowhead Financial Group, Inc., dba Arrowhead Investment Center, LLC Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant William Alonzo Brown: Ronald G. Parker, Esq., Cohen, Eagan, Leonard & Parker, LLP, F

Award FINRA Dispute RMoliiUon In the Matter of the Arbitration Between: Claimant Case Number: 10-02339 Madhok Family Trust dated 1/13/1997 Respondent Hearino SHe: San Francisco, Califomia Charles Schwab & Co.. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Madhok Family Trust dated 1/13/1997, hereinafter referred to as "Clalmanr: Thomas D. Maurietio, Esq., Mauriello Law Finn, APC, San Ciennente, Cali

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-04326 Janet Goodstein Laurie IVIartorano Daniel Martorano vs. Respondents Hearing Site: Boca Raton, Florida Lawrence J. Bedard Steven L. Falk and Associates Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Daniel and Laurie Martorano and Janet Goodstein, hereinafter collecti