Award FiNRA Dispute Resolution In the Matter of tiie Arbitration Between: Claimant Case Number: 09-06924 Marie C. Mirch Respondent Hearing Site: Reno, Nevada Morgan Stanley Smith Barney Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marie C. Mirch, hereinafter referred to as "Claimant": Kevin J. Mirch, Esq., Mirch Law Firm, San Diego, California. Respondent, Morgan Stanley Smith Barney, hereinafter re

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Behween: Name of Claimant UBS Financial Services. Inc. vs. Case Number: 10-02325 Hearing Site: Cleveland. Ohio Name of Respondent Frank J. Bodi NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Sen/ices, Inc. ("Claimant" or "UBS") was represented by Michael T. Roche. Esq., Schuyler, Roche & Crisham, PC, Chicago, Illinois

AWARD FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Names of Claimants The Prudential Insurance Company of America, Pruco Securities, LLC, and Prudential Insurance Agency, LLC vs. Name of Respondent Douglas E. Inlay Case Number: 10-03348 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Member and Non-Members v. Associated Person REPRESENTATION OF PARTIES The Prudential Insurance Company of

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas Edward Styczen vs. Names of Respondents Wells Fargo Advisors, LLC and Robert Lee Schrieber Case Number: 10-04034 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Thomas Edward Styczen ("Claimant") was represented by James Eccleston, Esq and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Advisors, LLC Case Number: 10-05557 vs. Respondent David Song Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C., Cranford, NJ. Respondent David

Award FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Claimant Case Number: 10-05354 Michael Daniele Subrizi vs. Respondent Hearing Site: New York, New York Chase Investment Services Corp. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael Daniele Subrizi, hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Mario Conforti Case Number: 10-05264 vs. Respondents FSC Securities Corporation Anthony E. Locascio Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person The case proceeded under the Majority Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Claimant Mario Conforti, hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11-01339 Laura J. Bogolin Roy Lee Harvey vs. Respondent Hearing Site: Atlanta, Georgia E*Trade Securities LLC Nature of the Dispute: Customers vs. Member The case proceeded under the Optional All Public Panel rule/ All Public Panel REPRESENTATION OF PARTIES Claimants Laura J. Bogolin and Roy Lee Harvey, hereinafter collectively refer

AWARD FINRA DISPUTE RESOLUTION CASE: 11-03148 Ameriprise Financial Services, Inc. vs. Scott Dascani REPRESENTATION OF PARTIES: For Ameriprise Financial Services, Inc.: Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit Ml. Respondent Scott Dascani did not appear. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: August 9, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note.

AWARD FINRA DISPUTE RESOLUTION CASE: 11-03177 UBS Financial Sen/ices, Inc. ("Claimant") vs. Christopher R. Guenther ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Steven P. Pherson, Esq., Schuyler, Roche & Crisham, PC, Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 12, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory no