Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02268 Margarita Bueno Names of the Respondents Hearing Site: Miami, Florida Global Strategic Investments Steriing Financial Group of Companies, Inc. vFinance Investments, Inc. Luis Fernando Mahecha Francesco Tirelli Gustavo Chacin Roger Esteban Castillero Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Ben Pivnick, individually and as trustee of The Ben Pivnick Revocable Living Trust Respondents Wachovia Securities, LLC UBS Financial Services, Inc. The GMS Group, LLC Hennion & Walsh, Inc. Robert W. BaIrd & Co. Inc. Case Number: 09-06246 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Fo

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04344 Legends Bank Respondent Hearing Site: Nashville, Tennessee Morgan Keegan & Company Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Legends Bank, hereinafter referred to as "Claimant": John M. Edgar, Esq., Edgar Law Firm, LLC, Kansas City, Missouri. For Morgan Keegan & Company Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Marie Ozark (Claimant) vs. Joyce Hoban and Ameriprise Financial Services, Inc. (Respondents) Case Number: 10-03226 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Ann Marie Ozark, hereinafter referred to as "Claimant": Joseph L. Ozark, Jr., Pittston, PA. Respondents Joyce Hoban (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arthur S. Manaselian (Claimant) vs. RBC Capital Markets Corporation (Respondent) Case Number: 10-03839 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Arthur S. Manaselian, hereinafter referred to as "Claimant": Mitchell Markowitz, SMRC, Inc., Brooklyn, NY. Respondent RBC Capital Markets Corporation, hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark J. Porter, CFP (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 10-02618 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark J. Porter, CFP, hereinafter referred to as "Claimant": Richard M. Gelb, Esq., Gelb & Gelb LLP, Boston, MA. Respondent Ameriprise Financial Services

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00435 Morgan Stanley Smith Bamey, LLC (Claimant) vs. William G. Creamer (Respondent) REPRESENTATION OF PARTIES: For Claimant Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould PC, Bimningham, Michigan. For Respondent Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 28, 2011 CASE SUMMARY: Claimant asserted the following cause of action: Breach of a Promi

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Steven L. Auxter vs. Case Number: 10-00806 Hearing Site: Cleveland, Ohio Name of Respondent/Counter-Claimant Morgan Stanley Smith Barney LLC NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES Steven L. Auxter ("Claimant" or "Auxter") was represented by Jon J. Finney, Esq., Kohrman Jackson & Kr

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number; 09-01516 Wells Fargo Investments, LLC n/k/a Wells Fargo Advisors, LLC Name of Respondent/Counter-Claimant Hearing Site: San Francisco, California Ronald Todd Blevins Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00555 Melvin and Evelyn Dias Respondent Hearing Site: Reno, Nevada Pershing LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Melvin and Evelyn Dias, hereinafter referred to collectively as "Claimants": Scott R. Shewan, Esq., Pape & Shewan, L.L.P., Clovis, Califomia. Respondent, Pershing LLC, hereinafter referre