Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Michael Rocco Christiane Rocco Case Number: 10-00508 vs. Respondents Paul Robert Beck Seidler Holdings, Inc. The Seidler Companies Incorporated Crowell, Weedon & Co. Debra Marcy Reda-Cappos Western International Securities, Inc. Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Members, Associated Persons,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Barbara Sanborn Case Number: 10-03230 vs. Respondent Weils Fargo Advisors, LLC Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member Barbara Sanborn, hereinafter referred to as "Claimant": Jeffrey L. Cox, Esq., Sallah & Cox, LLC, Boca Raton, FL. Wells Fargo Advisors, LLC, hereinafter referred to as "R

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-02587 UBS Financial Services Inc. vs. Respondent Hearino Site: Orlando, Florida Robert Richard Wachholder Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services Inc., hereinafter referred to as "Claimant": Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.O., Chicago, IL. Ro

AWARD FINRA DISPUTE RESOLUTION CASE: 11-03193 Claimants Morgan Stanley Smith Barney and Morgan Stanley Smith Barney FA Notes Holdings LLC vs. Respondent Robert Allan Goudeseune REPRESENTATION OF PARTIES: For Claimants: Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould PC, Birmingham, Michigan Respondent did not appear NATURE OF DISPUTE: Member and Non-Member vs. Associated Person DATE FILED: August 15, 2011 CASE SUMMARY: Claima

AWARD FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Eric Michael Goldstein vs. Name of Respondent Fifth Third Securities, Inc. Case Number: 10-04426 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Eric Michael Goldstein ("Claimant") was represented by Adam D. Herzog, Esq., Robison Curley & Clayton, PC, (Chicago, Illinois.

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 10-04595 UBS Financial Services Inc. Respondent Hearing Site: San Francisco, California Tony D. Sanchez Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant" or "UBS": Angelina E. Chew, Esq., Palmer, Lombard! & Donohue, LLP, Los Angeles, Calif

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David McAllister, on behalf of himself and as the only Trustee of Trust A - McAllister Family Trust and Trust B - McAllister Family Trust vs. Case Number: 11-04236 Heanng Site: Chicago, Illinois Names of Respondents Mercer Capital, Ltd., Anthony John Salino, and Lynn Gordon Schultz NATURE OF THE DISPUTE Customer vs. Member and Asso

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Tall Trees, LLC vs. Case Number: 09-06958 Hearing Site: Chicago, Illinois Name of Respondent Cole Partners, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Tall Trees, LLC ("Claimant") was represented by Thomas F. Burke, Esq., Thomas F. Burke, PC, Chicago, Illinois. Cole Partners, LLC ("Respondent" or "Cole

stipulated Award FINRA Dispute Reeolution In the Matter of the ArtDitration Between: Claimant Barclays Capital, Inc. Case Number: 11 -00671 vs. Respondent Felipe E. Coello Hearinq Site: Ft. Lauderdale, Florida vs. Third Partv Respondents Barclays Bank, PLC Tom Kalaris Nature of the Dispute: Member vs. Associated Person vs. Non-Member and Associated Person For Barclays Capital, Inc., hereinafter referred to as "C

Award FINRA Dispute Reeolution In the Matter of the Arbitration Between: Claimant Howard J. Robinson, as Trustee of the Rita Lois Robinson Trust Case Number: 10-04964 vs. Respondents Wells Fargo Advisors, LLC. f/k/a Wachovia Securities, LLC John P. Hodson Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Howard J. Robinson, as Truste