Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas liko (Claimant) v. Kershner Securities, LLC (Respondent) Case Number: 10-02344 Hearing Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas lIko, hereinafter referred to as "Claimant" appeared pro se. Respondent Kershner Securities, LLC, hereinafter referred to as "Respondent": David A. Shargel, Esq., B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew Scoble (Claimant) vs. Blaylock & Partners. L.P. (Respondent) Case Number: 09-06485 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Matthew Scoble, hereinafter referred to as "Claimant": Matthew J. McDonald, Esq., Liddle & Robinson. L.L.P., New York, NY. Respondent Blaylock & Partners. L.P.. hereinaf

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Brady Elias (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Jeffrey Alexander (Respondents) Case Number: 10-01112 Hearing Site: New Yorlc, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brady Elias, hereinafter referred to as "Claimant": Adolph D. Seltzer, Esq., Attorney at Law, New York, NY. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charies A. Stokes and Mary E. Stokes, Joint Tenants (Claimants) vs. Charies Schwab & Co., Inc. and Kimon P. Daifotis (Respondents) Case Number: 09-05785 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Charies A. Stokes ("C. Stokes") and Mary E. Sokes (M. Stokes"), Joint Tenants, hereinafter col

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06016 Raul Nobili, as Trustee of the Raul Nobili Trust U/A DTD 11/02/99, and as Custodian of the Ashley Nobili UFLUTMA and Corinne Nobili UFLUTMA Respondents Hearing Site: Miami, FL Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTiES For Raul Nob

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00008 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Eric Matheson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Merrill Lynch, Pierce, Fenner & Smith Inc., hereinafter referred to as "Claimant": Michael J. Fortunate, Esq., Rubin, Fortunate & Har

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02380 Wells Fargo Advisors Financial Networi< , LLC, f/k/a Wachovia Securities Financial Networic, LLC Name of the Resoondent Hearing Site: San Francisco, California Michael Gibson Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, LLC, f/k/a Wacho

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01147 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Gregg William Whelan Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as WA " or "Claiman

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05045 UBS Financial Services Inc. (Claimant) vs. Alma Alcoser (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.O., Chicago, IL. For Respondent appeared Freddy B. Ruiz, Esq., Law Offices of Wheeler & Ruiz, San Antonio, TX. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 5. 2010 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William Brown, Norman L. Wemhoff, and Tamra S. Wemhoff vs. Case Number: 09-06774 Hearing Site: Dallas. Texas Names of Respondents Private Asset Group, Inc.. Burke Ambrose Dambly, Daryl Marc Holzberg, and James Matthew Walsh NATURE QF THE PISPUT5 Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES William Brown