Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John J. Baker, Natalie N. Baker, and Hanriet B. Baker (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 09-06762 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants John J. Baker ("J. Baker"), Natalie N. Baker ("N. Baker"), and Harriet B. Baker (H. Baker"), hereinafter collec

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-05232 Wells Fargo Advisors, LLC (Claimant) vs. Steven Matuszewski (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Esq., Wells Fargo Advisors, LLC, St, Louis, MO. Respondent appeared pro se, Cockeysville, MD. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Promissory N

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05001 Wells Fargo Advisors, LLC (Claimant) vs. Kyle Hannah (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Katy, TX. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 4, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. . Claim Data Award Data

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04090 Lehman Brothers Holdings, Inc., as assignee of Lehman Brothers Inc. (Claimant) vs. Marlon Smith (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Barry S. Gold, Esq., Krebsbach & Snyder, P.C., New York, NY. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Non-Member v. Associated Person. DATE FILED: September 13, 2010. CASE SUMMARY: Claimant asserted the following ca

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02394 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. David Matthews (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Columbo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 19, 2010. CASE SUMMARY: Claimant asserted the follo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Clainnants Margaret C. Lyddon and The Margaret C. Lyddon Rev. Trust vs. Names of Respondents Bankers & Investors Co. and MRM Asset Allocation Group, Inc. Case Number: 10-01982 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES Margaret C. Lyddon ("Lyddon") and The Margaret C. Lyd

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05428 Elephant Enterprises, Inc. (Claimant) vs. Edward Jones (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles O'Sullivan, Polk City, FL. For Respondent appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 29, 2010 CASE SUMMARY: Claimant alleged monetary damages in connection with liquidation of their account. C

AWARD FINRA DISPUTE RESOLUTION CASE:, i 0-05057 George W! Frpyd (Claimant) vs. Brian Sohovich and Edward Jones (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared John F. Hanzel, Esq., John F. Hanzel, P.A., Cornelius, NC. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associated Person and Member DATE FILED: November 8, 2010 CASE SUMMARY: Claimant asserted the following cau

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: John Vincent Gramins (Claimant) vs. Oppenheimer & Co.. Inc. (Respondent) Case Number: 10-03192 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John Vincent Gramins, hereinafter referred to as "Claimant: Steven N. Berk, Esq., Ruddy Law Office, PLLC, Washington. DC. Respondent Oppenheimer & Co., Inc., hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01490 Jack Wm. Windt, individually and as trustee of the Jack Wm. Windt Revocable Living Trust U/A DTD 6/18/1998 Respondents Hearing Site: Tampa, FL Jesup & Lament Securities Corp., as successor-in-interest to Empire Financial Group, Inc. Edward Martin Rosenberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O