Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Estate of Deborah L. Stein, Mark Stein as Executor Case Number: 10-03378 vs. Respondent Wells Fargo Advisors, LLC Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Deborah L. Stein, Mark Stein as Executor, hereinafter referred to as "Claimant": Patrick Gaffney, Esq., The Law Off

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00241 Lan H. Sherlock, as Trustee of the Sherlock Revocable Living Trust UTA March 2009 Martin Padilla Ronald Rzesniowiecki Respondent Hearing Site: San Francisco, California J.P. Turner & Company, L.L.C. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Lan H. Sherlock, as Trustee of the Sherlock Revocable Livi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James and Odette Abdelnour, Gail Abdelnour, Deborah Carroway, individually, and as legal guardian for her minor children Michael Carroway and Robert James Carroway, and Michael and Roslyn Abdelnour (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., as successor-in-interest of Advest, Inc. and Joseph Crespi (Respondents) Case Number: 08-01087 Hearino Site: Boston, Massachusetts

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-01028 Jason Robert Guehi Respondent Hearing Site: Los Angeles, California Fidelity Brokerage Services LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Jason Robert Guehl ("Claimant"): Pro se, Calabasas, California. Respondent Fidelity Brokerage Services LLC ("Respondent" or "Fidelity"): Carole G. Miller, E

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number. 10-05593 Cornelius Yongkay Choy Respondent Hearing Site: San Francisco, California Wallstreet*e Financial Services, inc. a/k/a Wallstreet Electronica, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Cornelius Yongkay Choy, hereinafter referred to as "Claimant": Mark Alan Goodman, Esq., Law Office of Mark

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Stanley Smith Barney vs. Respondent Bruce Kent Osborne Case Number 10-01493 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": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respondent, B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Lawrence E. Newlin Lina M. Paiacio vs. Respondents J.P. Turner & Company, L.L.C. Raymond Scott King Turner Wealth Management, Ltd. Case Number: 10-02781 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customers vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES For Lawrence E. Newlin, hereinafter referred to as "Newlin"

AWARD FINRA Dispute Resolution In the Matter of the Arbitratton Between: Names of Claimants Subodh C. Desai, M.D. and Kumar S. Desai, M.D. vs. Case Number: 10-03323 Hearing Site: Chicago, Illinois Names of Respondents MetLife Securities, Inc. and New England Securities NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Subodh C. Desai, M.D. ("Subodh") and Kumar S. Desai, M.D. ("Kumar"), hereinafter collectively refer

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00912 Securities America, Inc. ("Claimant") vs. Ronald John Kambic ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Kelly R. Davis, Esq., Securities America, Inc., Lavista, Nebraska. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 24. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of two promissory notes dated December 18, 2007

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant A)CA Advisors, LLC vs. Name of Respondent William Donald Miller, Jr. Case Number: 11-00921 Hearing Site: Wichita, Kansas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES AXA Advisors, LLC ("Claimant") was represented by Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C., Cranford, New Jersey. William Donald Mille