Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Alan Fenster, A Professional Corporation Alan and Sandra Fenster Alan Fenster Corporate Profit & Pension Name of the Respondents J.P. Morgan Securities, inc. Robert Scott Zeiger Michael Jay Goldberg Name of the Counter-Claimant J.P. Morgan Securities, inc. Name of the Counter-Respondent Alan Fenster, A Professional Corporation Case Numbe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Master Consolidated Case Number: 07-03410 Jeffrey H. Mims, Chapter 7 Trustee for the Bankruptcy Estate of Dennis Serio Name of Respondent/Counter-Claimant Hearino Site: Dallas, Texas Wachovia Securities, LLC Consolidated with: Name of Claimant Subordinate Case Number: 07-03381 Wachovia Securities, LLC Name of Respondent Hea

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Names of the Claimants Ross Carter and Jane Carter Names of the Respondents IVlorgan Stanley Dean Witter, a/k/a Morgan Stanley & Co. Inc., and a/k/a Morgan Stanley Smith Barney Case Number: 09-07051 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael S. Brennan (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 09-04307 , Hearing Site: New Yorl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. (Claimant) v. Simeon J. Thall (Respondent) Case Number: 09-04296 Hearino Site: New Yorl< , New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Deborah Dicl< stein, Esq., Oppenheimer & Co. Inc., New York, NY. Previously represented by John T. McGuire, E

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Emanuel Licht and David Evan Licht (Claimants) vs. Charles Schwab & Co., Inc., Glen Krause, and Kimon Daifotis (Respondents) Case Number: 09-02399 Hearing Site: Newarl< , New Jersey Nature of the Dispute: Customers vs. IVIember and Associated Persons. REPRESENTATION OF PARTIES Claimants Emanuel Licht ("E. Licht") and David Evan Licht ("D.Licht"), hereinafter collectively referr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05107 David J. Ferraro Names of the Respondents Hearing Site: Chariotte, North Carolina Deutsche Bank Securities, inc. Gregory L. Planck Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David J. Ferraro, hereinafter referred to as "Claimant": Jenice L. Maiecki, Esq., Malecki Law, New

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05239 UBS Financial Services Inc.: "Claimant" vs. Charies R. Norvell: "Respondent" REPRESENTATION OF PARTIES: For Claimant: James J. McNamara, Esq., Schuyler, Roche & Crisham, P.O., Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 17, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of contract/unjust enrichment. The cause o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01184 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Washinaton. D.C. Justin D. Sllberman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Stephen D. Bums

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02377 Wells Fargo Advisors, LLC vs. Max Jaffee REPRESENTATION OF PARTIES: For Claimant Gregory S.Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. For Respondent Respondent appeared pro se. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 14, 2010. CASE SUMMARY: Claimant alleged breach of promissory note dated October 2, 2007, {the "Note") as the cause of action. RELIEF REQ