AWARD FINRA DISPUTE RESOLUTION CASE: 10-05524 Lou-Ellen Robbins, an individual (Claimant) vs. Wedbush Securities, Inc., First Wall Street Corp., and John Scott Ailing (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, La Jolla, CA. For Respondent Wedbush Securities, Inc., appeared Charles LaChaussee, Esq., Wedbush Securities, Inc., Los Angeles, CA. For Respondent First Wall Street Corp., appeared Arthur S. Leider, Esq., Investors A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Tranquillo (Claimant) vs. HSBC Securities, Inc. (Respondent) Case Number: 10-03612 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ronald Tranquillo hereinafter referred to as "Claimant": Theodore M. Davis, Esq., Law Offices of Theodore M. Davis, Long Island City, NY. Respondent HSBC Securities, Inc., hereinaf

Award FiNRA Dispute Resolution In the Matter of the Art^itration Between: Claimant Case Number: 10-02477 Frank Griswold Respondents Hearina Site: Anchorage, Alaska Burch & Company, Inc. William Clifford Congdon, John Frederick Jeffers Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Frank Griswold, hereinafter referred to as "Claimant": Christopher J. Slottee, Esq., Atkinson, Conway & Ga

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Claimants Case Number: 10-01320 Cari F. Neuss, Individually and as Tmstee of the Neuss Family Tmst. Prairiestone Investment Tmst, One Westheimer Investors, Ltd. DBPP and Pacific Venture Associates, Inc. DBPP and on behalf of the Cart F. Neuss IRA, Cari F. Neuss Beneficiary IRA, Hitching Rail Investors, LLC, Pacific Ventures Associates, Inc. and Pacific Ventures Associates, Inc. 401

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00879 Christopher D. Driscoll (Claimant) vs. Joseph Stevens & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Terryville, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: March 2, 2011 CASE SUMMARY: Claimant asserted the following cause of action: expungement of Forms U4 and U5. ARBITRATOR'S REPORT: The infor

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01149 Fred W. Holczer (Claimant) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lakewood, OH. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 22, 2011 CASE SUMMARY: Claimant alleged a monetary loss due to Respondents failure to follow his instruc

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01024 Garden State Securities, Inc. (Claimant) vs. Anthony M. Sparber (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert I. Rabinowitz, Esq., Becker & Poliakoff, LLP, Red Bank, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: March 10, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promi

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 09-06492 Amir Ali Monsefi Respondent Hearina Site: Los Angeles, California TD Ameritrade, Inc. Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Amir Ali Monsefi, hereinafter referred to as "Claimant": Faryan Andrew Afifi, Esq., The Afifi Law Group, Los Angeles, California. Respondent, TD Ameritrade, Inc., hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mitchell Asch (Claimant) vs. Raymond James & Associates, Inc. and Peter Delahunt (Respondents) Case Number: 10-02284 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mitchell Asch, hereinafter referred to as "Claimant" appeared pro se. Previously represented by William H. Kaiser, Esq., K

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Empire Financial Group, Inc. Names of the Respondents Stockcross Financial Services, Inc. Estate of Gerry Mastrianni Hernando Henry Cortes John V. Kelly Robert B. Gaeta Kevin B. O'Halloran Jason T. Sharfstein Case Number: 08-01879 Hearing Site: Orlando, Florida Names of Third Party Respondents Kevin A. Carreno Todd A. Zuckerbro