Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Greg Kipple (Claimant) vs. Wells Fargo Advisors, LLC and Wachovia Securities, LLC (Respondents) Case Number: 10-02871 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Greg Kipple, hereinafter referred to as "Claimant": David B. Wechsler, Esq., Wechsler & Cohen, LLP, New York, NY. Respondents Well

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11-00647 James and Nada Eischen Respondents Hearing Site: San Diego, California Morgan Stanley & Co. Incorporated Jonathon Mark Webster Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, James and Nada Eischen, hereinafter referred to collectively as "Claimants" or "Eischens": Matthew R. Miller, Es

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimants Case Number: 11-00646 Henry and Patrice Kankowski Respondents Hearing Site: San Diego, California Morgan Stanley & Co. Incorporated Jonathon Marie Webster Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Henry and Patrice Kankowski, hereinafter referred to collectively as "Claimants" or "Kankowskis": Matthew

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Claimant Case Number: 09-05719 A. Richard Delfs Respondents Hearing Site: Phoenix, Arizona Michael Tusan Morgan Stanley & Co. Incorporated Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, A. Richard Delfs, hereinafter referred to as "Claimant": Stephen M. Weiss, Esq., Karp & Weiss, P.C., Tucson, Arizona. Respo

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Morgan Stanley Smith Bamey. LLC vs. Case Number: 10-03345 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Stuart L. Peari NATURE OF THE DISPUTE Member vs. Associated Person •SENTATION OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimant" or "Morgan Stanley") was represented by Diane C. Fisher, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Farideh R. Bagne vs. Names of Respondents JP Morgan Securifies, Inc., JP Morgan Chase Bank, NA. Jacob Joseph Taylor. Jack Joseph Csemits, David Michael Dickman, Michael William Malone, and Michael Riechenbach Case Number 09-00880 Hearing Site: Detroit. Michigan NATURE PF THE PISPUTE Customer vs. Member, Non-Member, and Associated P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05508 Maria Gritsch Name of Respondent Hearing Site: Phoenix, Arizona Royal Alliance Associates, Inc. Nature of the Dispute: Customer vs. Member The case proceeded under the Majority Public Panel rule/Majority Public Panel. REPRESENTATION OF PARTIES Claimant, Maria Gritsch, hereinafter referred to as "Claimant": Jennifer J. Axel, Esq. and

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05699 Dynamis, Inc. (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: " For Claimant appeared Thomas Tenwilliger, Jr., Monarch Beach, OA. For Respondent appeared Julie A. Kole, Esq., Keesai, Young & Logan, San Francisco, CAand Erin K. Fair, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 21, 2010 CASE SUMMARY: Claimant alleged tha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05394 Ray Sherbert, M.D. Kathryn J. Sherisert Respondent Hearing Site: Columbia, South Carolina Morgan Stanley & Co. Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Ray Sherbert, M.D. and Kathryn J. Sherbert, hereinafter collectively referred to as "Claimants": Mi

AWARD FINRA DISPUTE RESOLUTION In tine Matter of the Ari^itration BehA^een: Claire F. Cicalese (Claimant) vs. Gregory Thomas Kwasnicki (Respondent) Case Number. 11-00485 SITUS: Newaric, New Jersey NATURE OF DISPUTE: Customer y. Associated Pereon. REPRESENTATION OF PARTIES Claire R. Cicalese, hereinafter refenred to as "Claimanf: Alan Gilmore, Esq., Lynch Osborne Theivakumar, Gilmore & Durst LLC, Princeton, NJ. Gregory Thomas Kwasnicki, hereinafter