Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Stephen Colavito Case Number: 10-01557 vs. Respondent Deutsche Bank Securities, Inc. Hearinq Site: Atianta, Georgia Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Stephen Colavito, hereinafter referred to as "Claimant": Craig H. Kuglar, Esq. and David J. Hungeling, Esq., The Law Offices of Craig Kuglar L

Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Estate of Nancy S. Nethercutt vs. Respondents Charles Schwab & Co., Inc. Craig Stephen Wessels Case Number: 10-05061 Hearinq Site: Seattle. Washington Nature of the Dispute: Customer vs. Member and Associated Person The case proceeded under the Optional All Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Claimant Estate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant John Francesconi Case Number: 11-01012 vs. Respondents Everett Neil Gilliss James Michael Johnson Hearing Site: Richmond, Virginia Nature of the Dispute: Customer vs. Associated Persons The case proceeded under the Optional All Public Panel rule/ Ail Public Panel REPRESENTATION OF PARTIES For John Francesconi, hereinafter referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Canneia Di Gregorio vs. Respondents Oppenheimer & Co., Inc. Ronald Kunze Case Number: 10-00502 Hearinq Site: Los Angeles, Califomia Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Carmela Di Gregorio, hereinafter referred to as "Claimant": Thomas R. Catanese, Esq., Catanese & Wells, A Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants George Reech Joann Reech Case Number: 10-04224 vs. Respondent Citigroup Global Markets, inc. Hearinq Site: New Orleans, Louisiana Nature of the Dispute: Customers vs. Member The case proceeded under the Public Arbitrator Pilot Program/ Majority Public Panel. REPRESENTATION OF PARTIES George Reech and Joann Reech, hereinafter collectively

Award FINRA DIsputo Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00341 Sean Patrick McGrover vs. Respondents Hearing Site: Orlando, Florida Michael Fleming Merrill Lynch Pierce Fenner & Smith Inc. Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Sean Patrick McGrover, hereinafter referred to as "Claimant," appeared pro se. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05276 John Puglisi vs. Respondent Hearinq Site: New York, New York Wells Fargo Advisors, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant John Puglisi, hereinafter referred to as "Claimant": Benjamin Lapin, SMRC, Inc., Brooklyn, NY. Respondent Wells Fargo Advisors, LLC, hereinafter referred to as "R

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01942 Wells Fargo Advisors, LLC (Claimant) vs. Russell Hart (Respondent) REPRESENTATION OF PARTIES: Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Jessica G. Klein, Esq., Wells Fargo Advisors, LLC, Saint Louis, MO. Respondent Russell Hart, hereinafter referred to as "Respondent": James D. Skaar, Esq.. Law Office of James D. Skaar. Esq.. Geneva, IL. NATURE OF DISPUTE: Member v. Asso

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02861 Ameriprise Financial Services, Inc. ("Claimant") vs. Peter Remington Ryan ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 20, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John T. Golle vs. Name of Respondent Charles Schwab & Co., Inc. Case Number: 11-00560 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Member The case proceeded under the Optional All Public Panel rule/ All Public Panel REPRESENTATION OF PARTIES John T. Golle ("Claimant") appeared pro se. Charles Schwab &