Award FINRA Dispute Resolution In the Matter of the Arbitration BebA/een: Claimant Case Number 11-01401 Wells Fargo Advisors, LLC Respondent Hearina Site: Phoenix, Arizona Warren Alfred Weems, ill Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC, hereinafter refen-ed to as "Claimanf: Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent, Warren Alfred Weems,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc. (Claimant) vs. Gordon Hook (Respondent) Case Number: 10-02736 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": Peter L. Altieri, Esq., Epstein Becker & Green, P.C., New York, NY. Respondent Gordon Hook, hereinafter

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah M. Menten, Trustee of the Deborah M. Menten Revocable Trust DTD U/A 5/26/98 (Claimant) v. Newbridge Securities Corporation (Respondent) Case Number: 10-02002 Hearina Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES Claimant Deborah M. Menten, Trustee of the Deborah M. Menten Revocable Trust DTD U/A 5/26/98, hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 11 -00266 Olivier Fortis Respondent Hearing Site: Los Angeles, California Judith Louise Woodhouse Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant, Olivier Fortis, hereinafter referred to as "Claimant": Pro se, Malibu, California. Respondent, Judith Louise Woodhouse, hereinafter referred to as "Respondent": Pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03278 Steven James Casull Respondent Hearing Site: Salt Lake City, Utah Eagle Gate Securities, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Steven James Casull, hereinafter referred to as "Claimant": pro se. Draper, Utah. Respondent, Eagle Gate Securities, Inc. did not enter an appearance in this mat

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant Case Number. 10-03410 Steven Kolow ResDondent Hearing Site: Denver, Colorado Oppenheimer & Co. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATiON OF PARTIES Claimant, Steven Kolow, hereinafter refenred to as "Claimant": Kristen Hudson, Esq., Bradley P. Nelson, Esq., and Jose A. Lopez, Esq., Schopf & Weiss LLP, Chicago, Illinois. Respondent, Oppen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04522 Rick Cooper The Estate of Lauretta Kuppennan Kuppemrian Family Limited Partnership Respondents Hearing Site: Los Angeles, California Debbie Michelle Saleh Wedbush Morgan Securities inc. Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC f/k/a First Union Securities Edward W. Wedbush Cross-Claimant Wedbush Morgan Securities

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 10-01847 George Putnam Respondent Hearino Site: San Francisco, California Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATiON OF PARTIES Claimant, George Putnam, hereinafter referred to as "Claimant": Justin T. Berger, Esq., and Eric J. Buescher, Esq., Cotchett, Pit

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-01336 SunTrust Investment Services, Inc. Respondent Hearing Site: Jacksonsville, Florida Jorge Torrens Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Investment Services, Inc., hereinafter referred to as "Claimant": R. Hal Meeks, Jr., Esq., Pursley Lowery Meeks, LLP, Atianta, Georgia. Jorge T

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-00664 UBS Financial Sen/ices Inc. Respondent/ Hearing Site: San Diego, California Counter-Claimant/ Third Partv Claimant Mark Christopher Riley Third Partv Respondent Piper Jeffrey & Co. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member Associated Person vs. Member REPRESENTATION OF PAR