AWARD FINRA DISPUTE RESOLUTION CASE: 10-03300 Morgan Keegan & Co., Inc. (Claimant) vs. Brett Jurgen Fisher (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William McCourt Schmitt, Jr., Esq., Morgan Keegan & Company, Inc., Memphis, TN. Respondent appeared pro se. Fishers, IN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 21, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Clai

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02953 Donald Joseph Englehart (Claimant) vs. Charies Schwab & Company Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kent, OH. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED: June 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to timely follow instructions to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02929 SagePoint Financial, Inc. (Claimant) vs. Harold D. McNaughton, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared G. Thomas Fleming, III, Esq., Los Angeles, CA and Justin Sacca, Esq., SagePoint Financial, Inc., New York, NY. Respondent appeared pro se, Fullerton, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 23, 2010 CASE SUMMARY: Claimant asserted the following causes

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02601 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Wilson Chan (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Nicole E. Stadelmaier, Esq., Fiore & Levin, PLLC, Ariington, VA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 2, 2010 CASE SUMMARY: Claimant asserted the following causes of action; breach

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02544 Dorothy L. Bailey (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared Avital Stadler, Esq., Sutheriand Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 27, 2010 CASE SUMMARY: Claimant asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02428 RBC Capital Markets Corporation (Claimant) vs. Sherry Maynard (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Donald S. Arbour, Esq., Arbour Law Firm, Minneapolis, MN. For Respondent appeared John L. Einstein, IV, Esq., Cariile Patchen & Murphy LLP, Columbus, OH. NATURE OF DISPUTE: Member v. Associated Person DATEFILED:May 19, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02397 Wells Fargo Advisors, LLC (Claimant) vs. Robert Buckelew (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Joseph Castelluci, Esq., Peluso Castelluci & Weintraub, P.C, Shrewsbury, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 18, 2010 CASE SUMMARY: Claimant asserted the followi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02329 Michael Palmisano, Individually; Michael and Cynthia Palmisano; Martha Rossdahl, Trust; Cynthia Palmisano, Keogh; Hilma Rossdahl, Trust; Michael Palmisano, IRA; and Cynthia Palmisano, IRA (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Michael Palmisano, Elk Grove, IL. For Respondent appeared Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Fra

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02096 Vicki Williams (Claimant) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Dallas, TX. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 30, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02047 Michael Allan Lees (Claimant) vs. Morgan Wilshire Securities, Inc., and Richard Douglas Pollan (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rapid City, SD. For Respondent Morgan Wilshire Securities, Inc., appeared Michael Finnan, Morgan Wilshire Securities, Inc., Garden City, NY. Respondent Richard Douglas Pollan appeared pro se, Huntington, NY. NATURE OF DISPUTE: Customer v. Member