AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James Fraser and Nancy Ann Fraser vs. Names of Respondents Oppenheimer & Co., Inc. and Dean Smith Case Number: 10-04145 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES James Fraser and Nancy Ann Fraser ("Claimants") were represented by Anthony V. Trogan, Jr., Esq., An

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11 -02649 Advanced Equities, Inc. vs. Respondents Hearing Site: New York, New York Jared Carmel Felix Investments LLC Frank Mazzola Nature of the Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Advanced Equities, Inc., hereinafter referred to as "Claimant": Howard Elisofon, Esq. and Grant R. Co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants John Dugan John Dugan and Karen Dugan JTWROS Case Number: 10-03012 vs. Respondent Charles Schwab & Co., Inc. Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants John Dugan and John Dugan and Karen Dugan JTWROS, hereinafter collectively referred to as "Claimants": Kevin T. Smith, Esq., La

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen/ices, Inc. vs. Name of Respondent Christopher St. Laurent Case Number: 09-06066 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by James J. McNamara, Esq. and Michael Lee, Esq., Schuyler. Roche & Crisha

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01741 Larry and Elizabeth Johnson (Claimants) vs. Morgan Keegan & Co. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Richard S. Frankowski, Esq., Buri^e, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Shea O'Brien Hicks, Esq., Morgan Keegan & Co., Inc., Memphis, TN, NATURE OF DISPUTE: Customers v. Member. DATE FILED: April 28, 2011 CASE SUMMARY: Claimants asserted the f

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 10-03890 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC Respondent Hearing Site: Reno, Nevada Andrew L. Quinn Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, hereinafter referred to as "WFA" or "Claimant": Timothy N. Will, Esq., Albe

stipulated Award FtNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00627 Gary R. Mascwell Respondent Hearing Site: Portland, Oregon Daniel Shiek Ahmad Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant, Gary R. Maxwell, hereinafter referred to as "Claimant": Pro Se, Forest Grove, Oregon. Respondent, Daniel Shiek Ahmad, hereinafter referred to as "Respondent": Pro S

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01742 Beverly Vogt (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham. AL. For Respondent appeared Curt R. Soefker. Esq.. Morgan Keegan & Company. Inc.. Memphis, TN. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 28, 2011 CASE SUMMARY: Claimant asserted the following c

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00582 Andrew Garrett, Inc. vs. Respondent Aviv Hen Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc., hereinafter referred to as "Claimant": Revan R. Schwartz, Esq., Andrew Garrett, Inc., New York, NY. Respondent Aviv Hen, hereinafter referred to

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01819 Wells Fargo Advisors, LLC (Claimant) vs. Jeffrey Tock (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jessica G. Klein, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Westiake. OH. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 26. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of retention award agreement. In his C