Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Hunt (Claimant) vs. NPA Financial Services, Inc., and Fred Karagosian (Respondents) Case Number: 09-06911 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Barbara Hunt hereinafter referred to as "Claimant": Elizabeth Goldman, Esq., Benjamin N. Cardozo School of Law, Securities Arbitratio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Myrna Axelrod (Claimant) vs. UBS Financial Services Inc. and Jack E. Kolker (Respondents) Case Number: 09-04304 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Myrna Axelrod hereinafter referred to as "Claimant": Elizabeth Genn, Esq., Jenner & Block, New York, NY. Previously represented by Stua

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth Robert Epstein (Claimant) vs. Janney Montgomery Scott LLC (Respondent) Case Number: 09-01400 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth Robert Epstein ("Claimant") appeared pro se. Respondent Janney Montgomery Scott LLC ("Respondent"): Paula D. Shaffner, Esq., Stradley Ronon Stevens & Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brian McCafferty (Claimant) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 07-02357 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Brian McCafferty hereinafter referred to as "Claimant": George L. Mahr, 111, Esq., Mahr& Mahr, LLC, Madison, NJ. Respondent A.G. Edwards & Sons, Inc., hereinafter refe

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01865 Royetta R. Birkhimer (Claimant) vs. La Salle St. Securities, LLC and Wally Loving Meyers (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, El Sobrante, CA. For Respondent La Salle St. Securities, LLC appeared Ronald W. Noya, Esq., San Diego, CA and David A. Genelly, Esq., Vanasco Genelly & Miller, Chicago, IL. Respondent Waiiy L. Myers appeared pro se, Pleasant Hill, CA. NATURE OF DISPUTE

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Sean A. Cusaic vs. Case Number: 09-05478 Hearing Site: Houston, Texas Name of Respondent Morgan Stanley & Co., Incorporated NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Sean A. Cusal< ("Ciaimanf or "Cusak") was represented by Rodney J. Heggy, Esq., Fedemnan & Shenvood, Oklahoma City, Oklahoma. Morgan Stanley &

AWARD FINRA Dispute Resoiution in the Matter of the Arbitration Between: Name of Claimant John W. Grimes vs. Case Number: 09-00200 Hearing Site: Cincinnati, Ohio Names of Respondents 1717 Capital Management Company and Roy Neal NATURE OF THE DiSPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John W. Grimes ("Claimant" or "Mr. Grimes") appeared pro se. 1717 Capital Management Company ("1717") was represente

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02891 Jeffrey Garsl< e Names of the Respondents Hearing Site: Columbia, South Carolina iVlax International Corporation Gregory Knight Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Garsl< e, hereinafter referred to as "Claimant": Michael Huberman, Esq. and Seth Huberman, Esq.,

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 10-02084 Wells Fargo Advisors. LLC Respondent Hearing Site: San Francisco. Califomia Gene Howard Bums Nature of the Dispute: Member vs. Associated Person REPRgggNTATIQN QF PARTIS? Claimant. Wells Fargo Advisors, LLC, hereinafter referred to as "Weils Fargo" or "Ciaimanf: Mitchell J. Albert, Esq.. Albert & Will, LLP. Ton-ance. Califomia. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05196 Morgan Stanley Smith Barney Name of Respondents Hearina Site: Denver, Colorado SMH Capital Inc. Jon Todd Metzger George Joseph Garro Nature of Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Ciaimanf or "Morgan Stanley: John S. Lut