Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants " Case Number: 10-02050 Max G. Manack Byron Meads John Wyllys Names of the Respondents Hearing Site: Boca Raton, Florida Milton and Dorothy Aronowitz Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Max G. Manack ("Manack"), Byron Meads ("Meads") and John Wyllys ("Wyllys"), hereinafter collectively re

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00405 Wells Fargo Advisors Financial Network LLC, f/k/a Wachovia Securities Financial Network, LLC Name of the Respondent Hearing Site: Raleigh, North Carolina Richard Cobb Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors Financial Network, LLC, f/k/a Wachovia Secur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 10-00260 Bradley Louis Dreyer Names of the Respondents Hearing Site: Oriando, Florida Christopher J. Perrott Perrott, Mather & Gilday, Inc. Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bradley Louis Dreyer, hereinafter referred to as "Claimant": Eric M. Rolinson, Esq., Emeri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05958 Octavio Torres, a/k/a Andrew Torres Name of Respondents Hearing Site: San Diego, California Hartford Life Distributors f/k/a Planco Financial Services, LLC David Zappone David Walker Nature of Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Octavio Tones, a/k/a Andrew Tones, h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07231 Sonie Kim Respondents Hearing Site: Los Angeles, California United Equity Securities, LLC William Brown Park Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Sonie Kim, hereinafter referred to as "Claimant": Leonard Steiner, Esq., Steiner & Libo, Beveriy Hills, California. Respondents,

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-01363 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of Respondent Hearing Site: Boise, Idaho Jeffrey P. Schoen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter refenred to as "Claimanf or "Wells Fargo": Christopher

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05199 Ameriprise Financial Services, Inc. Respondent Hearing Site: Los Angeles, California John R. Aitken Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Financial Sen/ices, Inc., hereinafter referred to as "Claimant": Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Michigan. Respondent

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01060 Joe Miller Bazzell Name of Respondent Hearing Site: San Francisco, California Sammons Securities Company, LLC Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Joe Miller Bazzell, hereinafter referred to as "Claimant" or "Bazzell": Pro se, Lafayette, California. Respondent, Sammons Securities Co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-06979 SagePoint Financial, Inc. Name of Respondent/Counter-Claimant Hearing Site: Phoenix, Arizona Steven Craig Connors Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, SagePoint Financial, Inc., hereinafter referred to as "Claimant": Michael B. Cosentino, Esq., Seeg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06903 Maureen E. Perfect Respondents Hearing Site: Phoenix, Arizona Dylan Blu Minor David F. Neunuebel Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Maureen E. Perfect, hereinafter referred to as "Claimant": Chris D. Barski, Es