Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04025 Marilyn Berger Barry Berger Respondent Hearing Site: Boca Raton, FL Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marilyn Berger and Barry Berger, hereinafter collectively referred to as "Claimants": Steven D. Toskes, Esq., Klayman & Toskes, P.A., Boca Raton, FL. For Morgan St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01790 Woodbury Financial Services, Inc. Respondent Hearing Site: Orlando, FL Randall G. Deane Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Woodbury Financial Services, Inc., hereinafter referred to as "Claimant": Martin S. Chester, Esq. and Justin P. Krypel, Esq., Faegre & Benson LLP, Minneapolis, MN. For Rand

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04642 Frank C. Taylor Respondent Hearing Site: Memphis, Tennessee UBS Financial Sen/ices Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Frank C. Taylor, hereinafter referred to as "Claimant": F. Chet Taylor, Esq., Taylor Law Office, PLC, Minneapolis, Minnesota. Fo

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00599 Jack Chester (Claimant) vs. The GMS Group, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Chicago, IL. For Respondent appeared Thomas M. Regenye, The GMS Group, LLC, Livingston, NJ. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 10, 2011 CASE SUMMARY: Claimant alleged that there was a discrepancy between the purchase price of the bond and the market value shortly the

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00279 UBS Financial Sen/ices Inc. (Claimant) vs. Susan N. Keator (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ernest W. Irons, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared David O.N. Johnson, Esq., Meyer, Puklich, Merriam & Johnson, PLC, Eden Prairie, MN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 20, 2011 CASE SUMMARY: Claimant ass

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael O' Connor (Claimant) vs. Noel Fleming (Respondent) Case Number: 10-02710 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael O'Connor, hereinafter referred to as "Claimant" appeared pro se. Respondent Noel Fleming, hereinafter referred to as "Respondent": Todd A. Zuckerbrod, Esq., Todd A. Zu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eugene N. Barron (Claimant) vs. Scott & Stringfellow, Inc. a/k/a Scott & Stringfellow, LLC (Respondent) Case Number: 10-01995 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Eugene N. Barron, hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Law Office of Christopher J. Gray, P.C., New York, NY. Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Seymour Niesen by and through its Co-Executors Miriam Niesen and Andrew Niesen (Claimant) vs. Hennion & Walsh, Inc. (Respondent) Case Number: 10-01485 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The Estate of Seymour Niesen by and through its Co-Exectuors Miriam Niesen and Andrew Niesen, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: O. Robert Marino and Linda Marino (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Banc of America Securities LLC, Klaus Miller, and The Hoey Group (Respondents) Case Number: 10-01484 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimants O. Robert Marino ("Robert Mar

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carole Abramovitz vs. Wells Fargo Advisors, LLC (Respondent) Case Number: 10-00492 IHearing Site: New York, New York Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Carole Abramovitz, hereinafter referred to as "Claimant": Jake Zamansky, Esq., Zamansky & Associates, LLC, New York, NY. R