AWARD FINRA DISPUTE RESOLUTION CASE: 11-01863 Susan Brown, Henry Eriich, and Madeline Eriich (Claimants) vs. Trident Partners Ltd. (Respondent) REPRESENTATION OF PARTIES: Susan Brown ("Brown"), Henry Eriich ("H. Eriich"), and Madeline Eriich ("M. Eriich"), hereinafter collectively referred to as "Claimants": Curtis E. Pew, Esq., Hofstra University School of Law, Hempstead, NY. Respondent Trident Partners Ltd., hereinafter referred to as "R

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01866 Zhenzhou Wang and Min Cao (Claimants) vs. Interactive Brokers LLC (Respondent) REPRESENTATION OF PARTIES: Zhenzhou Wang ("Wang") and Min Cao ("Cao"), hereinafter collectively referred to as "Claimants" appeared pro se. Respondent Interactive Brokers LLC, hereinafter referred to as "Respondent": Juli Aylesworth, Esq., Interactive Brokers LLC, Greewich, CT. NATURE OF DISPUTE: Customers v. Member

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02028 John J. Pocreva, Jr. (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: John J. Pocreva, Jr., hereinafter referred to as "Claimant": Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. Respondent Morgan Keegan & Company, Inc., hereinafter referred to as "Respondent": Curt S. Soefker. Esq.. Morgan Keegan & Company. Inc.. Memphis, TN. NA

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02407 Morgan Stanley Smith Barney LLC and Morgan Stanley Smith Barney FA Notes LLC (Claimants) vs. Albert J. Krauza (Respondent) REPRESENTATION OF PARTIES: For Claimants Morgan Stanley Smith Barney LLC and Morgan Stanley Smith Barney FA Notes LLC, appeared Alan S. Brodherson, Esq., New York. NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member and Non-Member vs. Associ

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01162 Ethelene C. Hayes and Eari E. Hayes, JTWROS (Claimants) vs. ING Financial Partners, inc. (Respondent) REPRESENTATION OF PARTIES: Claimants Ethelene C. Hayes and Eari E. Hayes, JTWROS, hereinafter referred to as "Claimants": Ethelene C. Hayes, Las Vegas, NV. For Respondent appeared Brian J. Palmeri, Esq., Winget Spadafora Schwartzberg LLP, Stamford, CT. NATURE OF DISPUTE: Customers v. Member

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Advisors, LLC vs. Respondent Rick Lane Hansen Case Number: 10-01793 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant" or "WFA": Mitchell J. Albert, Esq., Albert & Will, LLP, Torran

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04393 Morgan Stanley Smith Barney LLC (f/k/a Morgan Stanley & Co., Incorporated) vs. Respondent Hearing Site: Los Angeles, California Steven L. Glasberg Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney LLC (f/k/a Morgan Stanley & Co., Incorporated), hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimartt Morgan Stanley Smith Barney vs. Respondent Larry Scoft Kurschner Case Number: 10-05473 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Mafthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, IL.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Cantella & Co., Inc. Case Number: 11-01071 vs. Respondent Arthur A. Gerome Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Cantella & Co., Inc., hereinafter referred to as "Claimant": George W. Mann, Jr., Esq., Cantella & Co., Inc., Boston, MA. Respondent Arthur A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-05548 Jack F. Immel, individually and as trustee for the Jack F. Immel IRA; and Valerie R. Immel, individually and as trustee for the Valerie R. Immel IRA vs. Respondent Hearing Site: Los Angeles, California Citigroup Global Markets, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Jack F. I