Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Caron E. Tsapatsaris (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) Case Number: 10-00281 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Caron E. Tsapatsaris, hereinafter referred to as "Claimant": Jesse Jacobson, Andover, MA. Respondent Fidelity Brokerage Services LLC, hereinafter referred to as "R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03331 John Yousef (Claimant) vs. E*Tracle Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rocky River, OH. Claimant was previously represented by Sean P. Ruffin, Esq., Canton, OH. For Respondent appeared IVIeredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 19, 2010 CASE SUMMARY: Claimant alleged that his accoun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John S. Decorso (Claimant) vs. Chase Investment Services Corp. a/k/a JPMorgan Chase & Co. (Respondent) Case Number: 10-00305 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John S. Decorso, hereinafter referred to as "Claimant": Jason J. LeBoeuf, Esq., The Anthony Pope Law Firm, PC, Fairfield, NJ. Previousl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03524 NEXT Financial Group, Inc. (Claimant) vs. Clyde Thornburg (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGill, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. Respondent appeared pro se, Bradenton, FL. NATURDATE FILEDE OF : DISPUTEAugust 5, : 201Membe0 r v. Associated Person CASE SUMMARY: Claimant asserted the following cause of action: breach of contr

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03464 Ruth D. Goldstein (Claimant) vs. Cape Securities, Inc., James Randall Webb, and Kathi Renee Mansfield (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Atlanta, GA. For Respondents appeared Melissa Malcom, Esq., Melissa P. Malcom, LLC, McDonough, GA. NATURE OF DISPUTE: Associated Person v. Member and Associated Persons DATE FILED: July 23, 2010 CASE SUMMARY: Claimant asserted the foll

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03815 Kimberly S. McCloud (Claimant) vs. Morgan Stanley & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Fe, NIVI. For Respondent appeared Melissa M. Muehlfeld, Esq., Morgan Stanley Smith Barney LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 24. 2010 CASE SUMMARY: Claimant asserted the following causes of action: wrongful conduct, breach o

MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 10-03774 UBS Financial Services, Inc. (Claimant) vs. Michael P. Guidroz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 23, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of c

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC (Claimant) vs. Dennis B. Briscoe (Respondent) Case Number: 09-05369 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTiES Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Brady J. Hermann, Esq. and Deborah G. Evans, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. De

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marta Toscano and Robert M. Toscano (Claimants) vs. Chase Investment Services Corporation and Marshall H. Foster (Respondent) Case Number: 10-00672 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATiON OF PARTiES Claimants Marta Toscano ("M. Toscano") and Robert M. Toscano ("R. Toscano"), hereinafter collectively refer

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Doreen A. Solazzo (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-05487 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Doreen A. Solazzo, hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Mahr and Mahr, LLC, Madison, NJ. Respondent Merrill Lynch, Pierce, Fe