Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01999 Mary Frances Pitman vs. Respondents Hearing Site: Tampa, Florida Brenda Dupuis United Equity Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant Mary Frances Pitman: Jahan K. Manasseh, Esq., Klayman & Toskes, P.A., Boca Raton, FL. Respondent Brenda Dupuis appeared pr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Santanna Natural Gas Corporation vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Merrill Lynch & Co., Inc., Merrill Lynch Bank USA, Men-ill Lynch Bank & Trust Co., FSB, and Scott L. Branson Case Number: 09-06910 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member, Non-Members and Associated Person

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimants Dallas Charles Blagg and Robyn Ward-Blagg vs. Case Number: 09-06022 Hearing Site: Dallas, Texas Names of Respondents Morgan Keegan & Company, Inc.. Affinity Investment Services, LLC, Affinity Federal Credit Union, and Affinity Financial Services, LLC and Cross-Claimant Affinity Investment Services, LLC vs. Cross-Respondent Morga

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce, Fenher & Smith, Incorporated vs. Case Number: 10-04648 Hearing Site: Cleveland, Ohio Name of Respondent David S. Peters NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Claimant") was represented by Sean G. Duffy, Esq., Rubin, Fortun

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Thomas Gannon, IRA vs. Case Number: 10-00254 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Morgan Stanley Smith Barney and Joseph J. Molinero NATURE OF THE DISPUTE Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Thomas Gannon, IRA ("Claimant") was represented by Scott D. Livingston, Esq. and Dana L. Munhall, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley J. Fela, Jr. (Claimant) vs. Thomas A. Caprio (Respondent) Case Number: 10-02011 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Stanley J. Fela, Jr., hereinafter referred to as "Claimant": Louis H. Miron, Esq., Louis H. Miron, Attorney at Law. Westfleld, NJ. Respondent Thomas A. Caprio, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Daniel R. Casella (Respondent) Case Number: 10-04241 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Katherine M. Planer, Esq., RIker Danzig Scherer Hyland & Peretti, Morristown, NJ. Respondent Dan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Giaimant JPTDLM, L.P. vs. Case Number: 09-06233 Hearing Site: Milwaukee, Wisconsin Names of Respondents Oppenheimer & Co., Inc., Oppenheimer Asset Management Inc., Jonathan Greene, and Kyle M. Wool NATURE OF THE DISPUTE Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES JPTDLM, L P. ("Claimant") was represented by Jeffrey J

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00700 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Kamran Nezami (Respondent) REPRESENTATION OF PARTIES: For Claimant: Donald R. Littlefield, Esq., Ballard & Littlefield, LLP, Houston, Texas. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 16, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicholas Pitch, Sr., Nicholas Pitch, Jr., and Maria Pitch (Claimants) vs. Oppenheimer & Co., Inc., Mark C. Hotton, David Feigeles, and Henry Fichtner (Respondents) Case Number: 09-06333 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Nicholas Pitch, Sr., ("Pitch Sr."), Nicholas Pitch, Jr., ("Pitch