Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Walter Roth (Claimant) vs. A. G. Edwards & Sons, Inc. (Respondent) Case Number: 08-01654 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATiQN OF PARTIES Claimant Walter Roth hereinafter referred to as "Claimant" appeared pro se. Previously represented by Paul I. Weiner, Esq., Weiner & Katz, L.L.C, Livingston, NJ. Respondent A. G. E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00741 Ameriprise Financial Services, Inc. (Claimant) vs. Michael Gavin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Ml. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 17, 2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02399 UBS Financial Services Inc. (Claimant) vs. Richard E. Griffler (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Julian W. Wells, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: May 20,2010. CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft, Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Citigroup Global Markets, Inc. Case Number: 09-01796 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bertram E. Barnett Jr. ("Barn

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Reef Securities, Inc. vs. Case Number: 09-02634 Hearing Site: Dallas, Texas Names of Respondents/Counter-Claimants James Michael Buquoi and Ryan Patricl< Wright NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES Reef Securities, Inc. ("Claimant") was represented by Joel Held, Esq., and Laur

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01190 Weils Fargo Advisors, LLC Name of Respondent Hearina Site: Seattle, Washington John E. Sandstrom Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03836 Dennis E. Flynn IRA Name of the Respondents Hearina Site: Phoenix, Arizona UBS Financial Services, Inc. Bryan C. Dunn Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Dennis E. Flynn IRA, hereinafter referred to as "Claimant": Chris D. Barsi< i, Esq., Barski Drake PLC, Scottsdal

Award FINRA Dispute Resoiution in tiie iVIatter of the Arbitration Between: Name of the Claimant Case Number: 10-02816 Wedbush Securities inc. Name of the Respondent Hearing Site: Los Angeles, California Robert Holmes Gunning Nature of the Dispute: l\/lember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Securities Inc., hereinafter referred to as "Wedbush" or "Claimant"; Charles LaChaussee, Esq., Wedbush Securities Inc., L

Stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02586 Wachovia Securities, LLC Name of Respondent Hearing Site: Los Angeles, California Nils Tord Banett Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities. LLC, hereinafter refenred to as 'Wachovia" or "Claimant": Timothy N. Will, Esq., Albert & Will, LLP. Torrance. Califo

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03399 Morgan Stanley Smith Barney, LLC (Claimant) vs. Timothy Scanlan (Respondent) REPRESENTATION OF PARTIES: For Claimant: Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould, PC, Bimiingham. Michigan For Respondent: Respondent was represented by Michael Arounian, Esq., The Law Offices of Stuart D. Meissner, LLC, New Yoric, New York until on or about October 28, 2010. Respondent appeared pro se until James A