AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Elswicl< vs. Case Number: 09-07075 Hearing Site: Houston, Texas Name of Respondent Chase Investments Services Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Roger Elswick ("Claimant") was represented by Travis C. Crowder, Esq., Houston, Texas. Chase Investments Services Corporation ("Respondent") was represe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-00009 Jeffrey S. Lieberman Marisel Lieberman Names of the Respondents Hearing Site: Miami, Florida Morgan Keegan & Company, Inc. Julio Almeyda Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey S. Lieberman ("J. Lieberman") and Marisel Lieberman ("M. Lieberman"), hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04497 Cathleen Hix William Whatley Ann Whatley Rita McGinley Michael Reynolds Helen Reynolds Timothy Olson R. Jane Ridien Marcus Funari Dawn Funari Robert Lowe Kathleen Lowe Sandra Waguespack John Evans Elizabeth Evans Frank Carter Patricia Carter Kevin Riley David Yurko Katrina Yurko

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00597 AXA Advisors, LLC Name of the Respondent Hearing Site: Ft. Lauderdale, Florida Shawn Wooden Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AXA Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey. Shawn Wooden, hereinaft

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04201 Wells Fargo Advisors, LLC (Claimant) vs. James S. May (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Kevin Dunn, Esq., The Dunn Law Firm, Conroe, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 16, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention A

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03979 Wells Fargo Advisors, LLC (Claimant) vs. Priscilla Jones (Respondent) REPRESENTATION OF PARTIES: RespondenFor Claimant t appeareappeared d prCarolyo se, n GriffinLaMar, GA , Well . s Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 2, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retenti

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03896 Ellen Jacob, custodian for John Jacob Fitsch/UGMA NY (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Floral Park, NY. For Respondent appeared Stuart T. Rebish, Esq., Bressler, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 30. 2010 CASE SUMMARY: Claimant asserted the following cause

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent A. Cipoilaro (Claimant) vs. iVIorgan Stanley and Co., Inc. (Respondent) Case Number: 10-01290 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Vincent A. Cipoilaro, hereinafter refenred to as "Claimant": Michael M. Steinmetz, Esq., Garson, Segal, Steinmetz, Fladgate, LLP, New York, NY. Previously represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-02474 Gregory R. Raifman & Susan Raifman, husband and wife, individually and as Trustees for/and on behalf of The Raifman Family Revocable Living Trust; and as beneficial owners and/or assignors of and on behalf of Gekko Holdings, LLC and Helicon Investments, Ltd. Respondents Hearing Site: San Francisco, California Wachovia Securities, LLC Georg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-05795 Robert A. Axel Wilburn F. McClure, Jr. Name of Respondents Hearing Site: Los Angeles, California Raymond, James & Associates, Inc. Matthew Carter Lowe Michael Edwin Magruder Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Robert A. Axel ("Axel"), and Wiibum F. McClure, Jr.