Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Narrie of the Claimant Case Number: 09-06370 Vivian Escandon Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Vivian Escandon, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, FL. For Morgan Stanley & Co., In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02179 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearing Site: Honolulu, Hawaii Carolyn J. Haik Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Gregg W. Marsano, Esq., Rubin, Fortunate & Harbison P.

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Clarice P. Shuck, as Trustee of The Shuck Family Tmst (Trust A) DTD 05/24/05 and General Partner of Shuck Limited Partnership, A Texas Limited Partnership Name of the Respondents Royal Alliance Associates, Inc. James L. Lossy James Leroy Losey, Jr. Wealthcare Alliance, Inc. Case Number 09-05576 Hearina Site: Los Angeles, Califomia

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC vs. Case Number: 1Q>02108 Hearing Site: Dallas, Texas Name of Respondent Michael Shaw MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Advisors, LLC ("Claimant") was represented by Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, New Jersey. Michael Shaw ("Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02175 Paula Eisenstein Names of the Respondents Hearing Site: Washington. DC Eric G. Meyers and H. Beck, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paula Eisenstein, hereinafter referred to as "Claimant": John P. Connolly, Esq., Law Offices of John P. Connolly, Alexandria,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00514 Molly Mendelsohn, Individually and as a Trustee for the Molly Mendelsohn Trust Name of the Respondent Hearing Location: Boca Raton, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Molly Mendelsohn, Individually and a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00175 James Benjamin Fellus Name of the Respondent Hearing Site: Birmingham, Alabama Sterne, Agee & Leach, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARirES For James Benjamin Fellus, hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, New York. For Sterne, Agee & Le

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03831 Kathy Leigh Richardson Names of the Respondents Hearing Site: Baltimore, Maryland Citigroup Global Markets, Inc. Brookstreet Securities Corporation Newbridge Securities Corp. John Francis Means Matthew Bryan Wilson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathy L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nathaniel Aaron Finkin (Claimant) vs. Morgan Stanley Smith Barney (Respondent) Case Number: 09-06253 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Nathaniel Aaron Finkin hereinafter referred to as "Claimant" appeared pro se. Respondent Morgan Stanley Smith Barney hereinafter referred to as "Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Olav Refvik (Claimant) v. Morgan Stanley & Co., Inc. (Respondent) Case Number: 09-01389 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Olav Refvik hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq. and Christine A. Palmieri, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Morgan Stanl