Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc. (Claimant) vs. Rachael S. Rothman and Susquehanna Financial Group, LLLP (Respondents) Case Number: 10-00977 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities, Inc., hereinafter referred to as "Claimant": Charles LaChaussee, Esq., Wedbush Mor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04511 Gail Crider (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Bonnie B. Monroe, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 6, 2010 CASE SUMMARY: Claimant asserted the following c

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04651 Michael Jordan Katz (Clainnant) vs. John Thomas Financial (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Brool^lyn, NY. For Respondent appeared Robert M. Bursl^y, Esq., New Yorl< , NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: unpaid commission and unlawful termination. ARBITRATOR'S REP

Award FINRA Dispute Resolution In tlie Matter of the Arbitration Between: Steven J. Tamsett (Claimant) vs. Oppenheimer & Co., Inc. (Respondent) Case Number: 10-01049 Hearing Site: Boston Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Steven J. Tamsett, hereinafter referred to as "Claimant": Peter A. Lagorio Esq., Law Office of Peter A. Lagorio, Boston, MA. Respondent Oppenheimer & Co., Inc., here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Allan Varah (Claimant) vs. Synergy Investment Group and Mark Christopher Wesley (Respondents) Case Number: 07-01849 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Allan Varah hereinafter referred to as "Claimant": Dena V. Varah, Esq., Lenczner Slaugh Royce Smith Griffin LLP, Toronto, Ontari

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04363 Ismail Jamqua (Claimant) vs. Chase Investment Services Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, West Bloomfleld, Mi. For Respondent appeared Scott R. Koch, Esq., JPMorgan Chase & Co., Chicago, IL. NATURE OF DISPUTE: Associated Person v. IVIember DATE FILED: September 28, 2010 CASE SUMMARY: Claimant alleged that Respondent unethically and illegally deducted his commissions.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert K. Laurent (Claimant) vs. Raymond James Financial Services, Inc. (Respondent) Case Number: 07-02772 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert K. Laurent hereinafter referred to as "Claimant": Adam B. Schwartz, Esq., Pashman Stein, P.C., Hackensack, NJ. Previously represented by Samuel J.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-^04969 Morgan Stanley Smith Barney (Clainnant) vs. Jessica Winczner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Matthew Schurter, Esq., Morgan Stanley Smith Barney^ Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brick B. Berglund, Jr. (Claimant) vs. Charles Schwab & Co., Inc., Darren Hinshaw, and Stephen Johnson (Respondents) Case Number: 10-01721 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Eric B. Berglund, Jr., hereinafter referred to as "Claimant": David H. Gibbs, Esq., Suffolk Law Schoo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney, LLC (Claimant) vs. Steve K. Shepherd (Respondent) Case Number: 10-02014 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Archie R. Chapinguian, Esq., Lubiner and Schmidt, L.L.C., Cranford, NJ. Respondent Ste