Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-03084 John Edward Smith, Sr., individually, and as owner of the John Edward Smith, Sr. IRA and the John Edward Smith, Sr. Annuity, and Carolyn K. Smith, individually, and as owner of the Carolyn K. Smith IRA vs. Respondent Hearing Site: Tampa, Florida Wells Fargo Advisors, LLC Nature of the Dispute: Customers vs. Member REPRES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant First Allied Securities, Inc. Case Number: 10-02076 vs. Respondent David Reneau Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For First Allied Securities, Inc., hereinafter referred to as "Claimant": Anne K Yannakakis, Associate General Counsel, First Allied Securities, Inc, Cheste

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01317 Jose G. Flores & Gladys Aponte vs. Respondents Hearing Site: San Juan, Puerto Rico Jeffrey Lopez Carios Pou UBS Financial Services Incorporated of Puerto Rico UBS Financial Services, Inc. Third Partv Respondent BBVA Sficurities of Puerto Rico, Inc. ^--r Nature of the Dispute: Customers vs. Members and Associated Persons;

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-02926 Margaret K. Noble vs. Respondents Hearing Site: Tampa, Florida Richard Henry Angelotti Edward Martin Rosenberg Sterne Agee Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Margaret K. Noble, hereinafter refen-ed to as "Claimant": W. Andrew Clayton, Jr., Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Donald A. Wilson vs. Respondent/Counter-Claimant Southwest Securities, Inc. Case Number: 10-01622 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Donald A. Wilson, hereinafter referred to as "Claimant": Kirk B. Freeman, Esq., La

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Names of Claimants Pelican Holdings, Ltd. and Fleming Endowment vs. Case Number: 09-02552 Hearing Site: Houston, Texas Name of Respondent Morgan Keegan & Company, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Pelican Holdings, Ltd. ("Pelican") and Fleming Endowment ("Fleming"), hereinafter collectively referred to as "Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration BehMeen: Claimant Morgan Stanley & Co., Incorporated vs. Respondent Blaine Carter Davis Case Number: 11-00003 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Incorporated, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-01116 Michael Albert Di Pietro Respondent/Counter-Claimant Hearing Site: Los Angeles, California First Allied Securities, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Michael Albert Di Pietro, hereinafter referred to as "Claimant": Marie C. Mirch, Esq

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02312 James J. Thomas (Claimant) vs. John Swegles and Philip Sloan (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Grosse Pointe Woods, Ml. For Respondents John Swegles ("Swegles") and Philip Sloan ("Sloan"), hereinafter collectively referred to as "Respondents": Julian W. Wells, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. NATURE OF DISPUTE: Customer v. Associat

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of Claimant Rosemary Intagliata vs. Case Number: 10-03922 Hearing Site: St. Louis, Missouri Name of Respondent Royal Alliance Associates, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Rosemary Intagliata ("Claimant") was represented by Michael M. Steinmetz, Esq., Garson, Segal, Steinmetz, Fladgate, LLP, New York, New Yor