Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Estate of Dr. Paul Tanner Case Number: 10-02737 ys. Respondents Oppenheimer & Co., Inc. Kedrick Peter Sackey Hearing Site: Newark, New Jersey Nature of the Dispute: Customer ys. Member and Associated Person REPRESENTATION QF PARTIES Claimant Estate of Dr. Paul Tanner, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Morrist

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Oavid Lerner Associates, Inc. Case Number: 11-02647 vs. Respondent Benjamin C. Lingenfelter Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant David Lerner Associates, Inc., hereinafter referred to as "Claimant": Michael G. Shannon, Esq., Thompson Hine LLP, New Yor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02215 Frederick M. Horn vs. Respondents Hearing Site: New York, New York Margaret Hatfield Carey James Edward Carey UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Frederick M. Horn, hereinafter referred to as "Claimanr: Janice L. Malecki, Esq., M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant James Phillip Schwantner Case Number: 11-02213 vs. Respondents Morgan Stanley & Co., Incorporated Morgan Stanley Smith Barney Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant James Phillip Schwantner, hereinafter referred to as "Claimant" appeared pro se. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Charmaine W. Kaltrider Case Number: 10-04068 vs. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Stephen Mark Nosek Timothy William McNamara McNamara-Nosek Group Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant Charmaine W. Kaltrider,

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01297 Royal Alliance Associates, Inc. (Claimant) vs. Jack A. Forlenza (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Craig A. Vollono, Royal Alliance Associates, Inc., New York, NY. For Respondent appeared Robert I. Rabinowitz, Esq., Becker & Poliakoff, LLP, Red Bank, NJ. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March 25, 2011 CASE SUMMARY: Claimant asserted

AWARD FINRA Dispute Resolution In the (flatter of the Arbitration Between: Name of Claimant Grayce Franks Stewart vs. Names of Respondents Morgan Keegan & Company, Inc., and William B. Shamburger Case Number: 10-02943 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Grayce Franks Stewart ("Claimant") was represented by James P. McCrocklin, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02118 UBS Financial Services Inc. (Claimant) vs. Aileen D'Agostino (Respondent) REPRESENTATION OF PARTIES: For Claimant: Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Bloomfield Hills, Ml. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 26, 2011 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and u

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Case Number: 11-01640 Hearing Site: Dallas, Texas Name of Respondent William Alfred Schwind NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Diane C. Fischer, Esq., and Paul T. Cahill, Esq.. Kane & Fischer, Ltd., Chicago,

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01808 Wells Fargo Advisors, LLC (Claimant) vs. Gerald A. O'Lear (Respondent) REPRESENTATION OF PARTIES: For Claimant Wells Fargo Advisors, LLC, appeared Steven Setter, Esq., Wells Fargo Advisors, LLC, St Louis, MO. Respondent appeared pro se. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: April 27, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of retenti