FINRA Awards for INC.

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-01719	08/17/2017	Claimant(s): Angeles Gonzalez, Eduardo Molinari, EMAS S.E., EMCO Construction, Eduardo Molinari & Associates, WARG, INC. Claimant Lawyers(s): Lloyd R. Schwed Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Guillermo J. Bobonis, Matthew E. Wolper Arbitrator(s): James Edward Seale, Donald Ervin Cope, Bernard Travis Holmes Hearing Site: San Juan, PR		Expungement
08-00672	12/02/2009	Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone Respondent(s): Advanced Equities. Respondent Lawyers(s): Thomas P. Yardley Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook Hearing Site: Chicago, IL		$174,766