Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02006 Arthur Bali Respondents Hearing Site: San Diego, California Carlos Jimenez Wells Fargo Advisors, LLC Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Arthur Bali, hereinafter referred to as "Claimant": Steven M, Green, Esq., The Law Fimn of Steven M. Green, San Diego, California. Respon

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants American Eagle Outfitters, Inc. and AEO Management Co. vs. Case Number: 10-00615 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Sanford A. Haber NATURE OF THE DISPUTE Customers vs. Associated Person REPRESENTATION OF PARTIES American Eagle Outfitters, Inc. and AEO Management Co. ("Claimants") were represented by Richard T. Victori

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04565 UBS Financial Services Inc. Respondent Hearing Site: Los Angeles, California James Allen Queen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant" or "UBS": Devin A. Donohue, Esq., and Alicia Y. Hou, Esq., Palmer, Lombard! & Donohue, LLP, Los A

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00548 Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Jeffrey Gargiulo REPRESENTATION OF PARTIES: For Claimant: Olga Y. Wayne, Esq., Rubin, Fortunate & Harbison P.C., Paoli, PA. Respondent Jeffrey Gargiulo did not appear. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 8, 2011. CASE SUMMARY: Claimant asserted the following causes of action: (1) breach of promissory note; and, (2)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-00802 UBS Financial Services Inc. Respondent/Counter-Claimant Hearing Site: Denver, Colorado John M. Birrenkotl Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, UBS Financial Services Inc., hereinafter referred to as "Claimant" or "UBS": Frank J. Vitolo, Esq.. Riker, Danz

I AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kenneth C. Thompson, Tmstee of the Kenneth C. Thompson Living Trust U/A dated 3-27-92 and Kenneth C. Thompson, as Beneficiary of the Kenneth C. Thompson IRA vs. Case Number: 09-03580 Hearing Site: St. Louis, Missouri Names of Respondents Stifel Nicoiaus & Co., Inc.. Roger Paul Compton, and Neil Rolla Harrison NATURE OF THE DISPUTE Cu

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Catherine C. McMichael, Individually and as Trustee for the Wallace T. and Catherine McMichael Trust U/A dated 11/19/91 vs. Case Number: 09-06804 Hearing Site: Houston, Texas Names of Respondents Wells Fargo Advisors, LLC and Gary L. Foose, Jr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Cather

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00111 Banc of America Investment Services, Inc. Respondent Hearing Site: Oriando, Florida Mark R. Hoffman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq. and Stephany D. McLaughlin, Esq., Kane & Fischer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Renee P. VanAssche vs. Name of Respondent / Counter-Claimant Lincoln Financial Distributore, Inc. Case Number: 10-02482 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Renee P. VanAssche ("Claimant") was represented by Gregory R. Piche, Esq., Singularity Legal, P

Award FINRA Dispute Resolution In the Matter of the ArtDitration Between: The Estate of Charies Daniels, Daniels' Family Tmst, and Charies Daniels' Trust (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., William Richard Tomes, and Terri Lee l-ockwood (Respondents) Case Number. 10-02489 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES The Estate of Charies