Award FINRA Dispute Resolution. Claimant Case Number: Karl Austin Pettijohn REPRESENTATION OF PARTIES

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Adela Phelps
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1 Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: Karl Austin Pettijohn vs. Respondent Robert Berra Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES For Claimant Karl Austin Pettijohn ("Claimant"): Scott Rahn, Esq., Rich, Intelisano & Katz, LLP, Los Angeles, California. Respondent Robert Berra ("Respondent") appeared pro se. CASE INFORMATION Statement of Claim filed on or about: June 11, Claimant signed the Submission Agreement: June 11, Statement of Answer filed by Respondent on or about: June 10, Respondent did not sign the Submission Agreement. CASE SUMMARY Claimant asserted a claim for expungement of Central Registration Depository Occurrence No from his registration records ("the Complaint"). The Complaint relates to Respondent's alleged inquiry with Claimant's former employer. Respondent filed a notice of consent and non-opposition and joinder to Claimant's expungement request.

Award Page 2 of 5 RELIEF REQUESTED In the Statement of Claim, Claimant requested the Arbitrator enter an award recommending the expungement of the Complaint from Claimant's Central Registration

2 Award Page 2 of 5 RELIEF REQUESTED In the Statement of Claim, Claimant requested the Arbitrator enter an award recommending the expungement of the Complaint from Claimant's Central Registration Depository record. Respondent advised he consented to and joined in Claimant's request that the Central Registration Depository Occurrence No be expunged from Claimant's record. Respondent advised he did not wish to and would not be participating in any pre-hearing administrative matters related to this case, including without limitation arbitrator selection and arbitration hearing scheduling, and he further agreed to have this expungement matter submitted to FINRA arbitration in Los Angeles, to have this matter heard by a single FINRA Arbitrator, to opt out of the initial pre-hearing conference, and to scheduling a hearing date selected by Claimant and the Arbitrator. Respondent further advised he would not be participating in the arbitration hearing in this matter, but respectfully requested that the Arbitrator grant Claimant's expungement request. OTHER ISSUES CONSIDERED AND DECIDED The Arbitrator acknowledges that he has read the pleadings and other materials filed by the parties. On June 15, 2015, parties confirmed their agreement to have the matter decided by a sole arbitrator. Respondent did not file with FINRA Dispute Resolution a properly executed submission agreement. The Arbitrator determined that Respondent submitted to FINRA's jurisdiction pursuant to Respondent's written statement which advised he agreed to have this expungement matter submitted to FINRA arbitration. On October 29, 2015, the Arbitrator conducted a recorded telephonic hearing so Claimant could present evidence on his request for expungement. Respondent affirmatively declined the opportunity to participate in the expungement hearing. The Arbitrator finds the following: no claim was ever made or filed by Respondent against Claimant There was no settlement in this case. There was no case presented by anyone against the Claimant and there were no payments by anyone in this case. The customer. Respondent, submitted his declaration in support of expungement and confirmed that no claim and no complaint had been made by him against Claimant. In recommending expungement, the Arbitrator relied upon the declaration of Respondent filed as Respondent's Statement of Answer. The Arbitrator also reviewed Claimant's BrokerCheck report. AWARD After considering the pleadings, the testimony and evidence presented at the expungement hearing, the Arbitrator has decided in full and final resolution of the issues submitted for determination as follows:

3 Award Page 3 of 5 The Arbitrator recommends the expungement of all references to Central Registration Depository Occurrence No from Claimant Karl Austin Pettijohn's registration records maintained by the Central Registration Depository ("CRD"), with the understanding that pursuant to Notice to Members 04-16, Claimant Karl Austin Pettijohn must obtain confirmation from a court of competent jurisdiction before the CRD will execute the expungement directive. Unless specifically waived in writing by FINRA, parties seeking judicial confirmation of an arbitration award containing expungement relief must name FINRA as an additional party and serve FINRA with all appropriate documents. Pursuant to Rule of the Code, the Arbitrator has made the following Rule 2080 affirmative findings of fact: The registered person was not involved in the alleged investment-related sales practice violation, forgery, theft, misappropriation, or conversion of funds; and The claim, allegation, or information is false. The Arbitrator has made the above Rule 2080 findings based on the following reasons: Based upon the declaration of Respondent, the pleadings and the testimony of Claimant, no claim was ever made by Respondent against, or about. Claimant. FEES Pursuant to the Code, the following fees are assessed: Filing Fees FINRA Dispute Resolution assessed a filing fee* for each claim: Initial Claim Filing Fee =$ 1, *77?e filing fee is made up of a non-refundable and a refundable portion. Member Fees Member fees are assessed to each member firm that is a party in these proceedings or to the member firm(s) that employed the associated person(s) at the time of the event(s) giving rise to the dispute. Accordingly, as Claimant's former firm, UBS Financial Services Inc. is assessed the following: Member Process Fee =$ 3, Hearing Session Fees and Assessments The Arbitrator has assessed hearing session fees for each session conducted. A session is any meeting between the parties and the arbitrator(s), including a pre-hearing conference with the arbitrator(s), that lasts four (4) hours or less. Fees associated with these proceedings are: One (1) Pre-hearing session with a single $450.00/session = $450.00

4 Award Page 4 of 5 Pre-hearing conference: October 6, session One (1) Hearing session on expungement $450.00/session = $ Hearing Date: October 29, session Total Hearing Session Fees = $ The Arbitrator has assessed $ of the hearing session fees to Claimant. All balances are payable to FINRA Dispute Resolution and are due upon receipt.

5 Award Page 5 of 5 ARBITRATOR Robert D. Sussin - Sole Public Arbitrator I, the undersigned Arbitrator, do hereby affirm that I am the individual described herein and who executed this instrument which is my award. Arbitrator's Signature Robeitt). Sussin Sole Public Arbitrator Signature Date December 2, 2015 Date of Service (For FINRA Dispute Resolution office use only)

Award FINRA Office of Dispute Resolution. Hearing Site: Houston, Texas Raymond, James & Associates, Inc. and UBS Financial Services Inc.

Award FINRA Office of Dispute Resolution. Hearing Site: Houston, Texas Raymond, James & Associates, Inc. and UBS Financial Services Inc. Award In the Matter of the Arbitration Between: Claimant Case Number: vs. Respondent Hearing Site: Houston, Texas Raymond, James & Associates, Inc. and UBS Financial Services Inc. Nature of the Dispute: