Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Michael Skakun a/k/a Michael Chaim Skakun (Claimant) vs. Janney Montgomery Scott and Scott E. Nuttall (Respondents) Case Number: 09-06456 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael Skakun a/k/a Michael Chaim Skakun, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Male

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent David Lehrer vs. Case Number: 10-01943 Hearing Site: Miiwaul< ee, Wisconsin Name of Respondent/Counter-Ctaimant Piper Jaffray & Company NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES David Lehrer ("Claimant" or "Lehrer") appeared pro se. Piper Jaffray & Company ("Respondent" or "Piper Jafiray") was

AWARD FINRA DISPUTE RESOLUTION In the Matter of ttie Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated vs. James R. Lanier Case Number: 10-04830 SITUS: Jacksonville, Florida NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Incorporated, hereinafter referred to as "Claimant": Ken S. Massey, Esq., Rubin, Fortunate & Harbison, P.C, Paoli, PA. Respondent James R. Lanie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02052 UBS Financial Services tnc. Name of the Respondent Hearing Site: Oriando, Florida Greg W. Harmon Nature ofthe Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Brian S. Hormozi, Esq., Schuyler Roche & Crisham, PC, Chicago, Illinois. Greg W

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04701 Welts Fargo Advisors, LLC (Claimant) vs. Robert Curtis Nethery (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, lit, Esq., Welts Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Dallas, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 19, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03926 LPL Financiat Corporation (Claimant) vs. Michael J. Lingner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey K. Compton, Esq., Markun Zusman & Compton, LLP, Pacific Palisades, CA. Respondent appeared pro se, Raleigh, NC. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Representati

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant Angela J. Schwaush vs. Case Number: 09-02882 Hearing Site: Dallas, Texas Names of Respondents UBS Financial Services, Inc., Michael G. Trahan, and Kenneth L. Logsdon NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Angela J. Schwaush ("Claimant" or "Schwaush") was represented by Richard H. Elliott,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara B. Cook, Individually and as Trustee of the Barbara Bush Cook Living Trust vs. Case Number: 09-04933 Hearing Site: St. Louis, Missouri Names of Respondents Stifel, Nicolaus & Co., inc. and AXA Advisors, LLC NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Barbara B. Cook, Individually and as Trustee of the Barbara

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Respondent Case Number 10-00735 Wedbush Securities, Inc. Name of Respondent/Counter-Ctaimant Hearing Site: Las Vegas, Nevada Tyrone B. Tabak Nature of Dispute: Member vs. Associated Person Associated Person vs. Memk)er REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wedbush Securities, Inc. hereinafter referred to as "Claimanf or "Wedbu

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06677 Robert Cordaro Lisa Cordaro Name of Respondents Hearina Site: Albuquerque, New Mexico United Securities Alliance, tnc. Michael Washington Jones Patrick Emanuel Sutheriand Ronald Keith Bloomingkemper Ronald James Petrlnovich Forrest Daryl Templeton CapWest Securities, Inc. Nature of Dispute: Customers vs. Members and