Award FINRA Dispute Resolution in the Matter of the Arbitration Between: UBS Financiai Services Inc. (Ciaimant) vs. Robert Szigeti (Respondent) Case Number: 09-07249 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Ciaimant UBS Financiai Services inc., hereinafter refened to as "Claimant": John D. Miller, III, Esq., UBS Financiai Services inc., Weehawlcen, NJ. Respondent did not e

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07246 Bijan Hakimpour (Claimant) vs. Scottrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Marina Del Rey, CA. For Respondent appeared Brandon S. Reif, Esq.. Winget, Spadafora & Schwartzberg LLP. Los Angeles, CA and Alexander T. Moore, Esq., Scottrade. inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 14, 2009 CASE SUMMARY: Claimant aiieged damages as a

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07236 Ronald S. Smith, Ronald S. Smith Trustee for Ronald S. Smith, a Law Corporation (Claimants) vs. Michael J. Scher, Wachovia Securities LLC, Weils Fargo Advisors, LLC, and Wachovia Securities Financiai Network, LLC (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Ronald S. Smith, Los Angeles, CA. For Respondents appeared William S. Port, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07168 Cecelia Wilson Cooic (Claimant) vs. Randall A. Dyches, Jr., LPL Financiai Corporation and Plantetion Federal Bank (Respondents) REPRESENTATION OF PARTIES: Ciaimant appeared pro se, Pawleys island, SC. For Respondente Randall A. Dyches, Jr., and LPL Financiai Corporation appeared Jennifer L. Carpenter, Esq., LPL Financiai Corporation, Boston, MA. Respondent Plantetion Federal Bank did not enter an appearance i

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07107 David A. Noyes & Company (Ciaimant) vs. Brian J. Harris (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert L. Cram, Esq., David A. Noyes & Company, Indianapolis. IN. Respondent appeared pro se, Wiiiowbrooic. IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 17. 2009 CASE SUMMARY: Ciaimant asserted the foiiowing cause of action: breach of Employment and Loan Agre

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06997 Paul L. Mechetti (IRA); Paul L. Mechetti, TTEE; Paul L. and Ariene A. MechettI Family Trust U/A 9/10/01; Ariene A. Mechetti, TTEE; Paul L. and Ariene A. Mechetti Family Trust U/A 9/10/01 (Claimante) vs. Banc of America investment Services, inc., and Jennifer Anne Johnston (Respondents) REPRESENTATION OF PARTIES: For Claimante appeared Paul L. Mechetti, San Rafael, CA. For Respondents appeared Eric Giassman, E

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Jon Dame and Nancy Powiowsky (Claimants) vs, J.B. I\1axweii and Oppenheimer & Co., Inc. (Respondents) Case Number: 09-02156 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimante Jon Dame ("Dame") and Nancy Powiowsky ("Powiowsky"), hereinafter coiiectiveiy referred to as "Claimante": Sean T. Cama

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Morgan Stanley & Co. incorporated (Ciaimant) vs. Eric Steven Butler and Julian Tzoiov (Respondents) Case Number 08-03030 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Ciaimant Morgan Stanley & Co. incorporated ("Claimant"): Theodore R. Snyder, Esq., Krebsbach & Snyder, P.C.. New York. NY. Respondent Eric Stev

Award FINi^ Disputa Resolution In the Matter of the Arbitration Between: Michael E. Caradimitropouio (Claimant) vs. GunnAllen Financiai, inc, The Concord Equity Group, L.L.C.. and Anthony Tricarico (Respondents) Case Number 08-01950 Hearing Site: New Yoric, New Yortc Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Ciaimant Michael E. Caradimitropouio hereinafter referred to as "Claimant": Nicholas J. Guiii

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dorene Dom (Claimant) vs. Ameriprlse Financial Services, Inc. (Respondent) Case Number: 08-01356 Hearing Site: Albany, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Dorene Dorn hereinafter referred to as "Claimant" appeared pro se. Previously represented by Stuart E. Finer, Esq., Finer & Gimzzi-Mosca, Utica. NY. Respondent Ameri