AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane Lamb vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 10-01921 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Diane Lamb ("Claimant") was represented by Francis J. Landry, Esq., Wasserman, Bryan, Landry & Honold, LLP, Toledo, Ohio. Ameriprise Financi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number (Subordinate Case): 06-01154 Robert L. and Ruth R. Akers (consolidated with 07-02226) Tom and Ann Carlson Myrle R. and Joan E. Grate, Jr. Garry E. and Linda M. McCoppin KCM Investments, LLC Mary Ann Paske Chris D. and Christine R. Ruppel B&G Sign, LP Artjor Station III, Ltd. Irma Waddell Respondents Hearing Site: Tampa, Florida Bear,

Award FINRA Dispute Resolution in the Matter of the Art^itration Between: Claimant Case Number: 10-01546 Susan inbar-Grecco, individually, and as trustee of the Susan Inbar-Grecco Trust (formeriy known as the Susan Inbar-Smlth Trust) dated 9/13/1989 Respondents Hearing Site: Los Angeles, California Menill Lynch, Pierce, Fenner & Smith incorporated Jose M. Lamas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06578 Leo David Ruth David R&D Development Name of Respondents Hearing Site: Los Angeles, California IDB Capital Corp. Gal Ben-Naim Israel Discount Bank Nature of the Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants, Leo David, Ruth David, and R&D Development, hereinafter collecti

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04348 Joseph Hunt Bowman and Timothy W. Bowman vs. Deutsche Bank Alex.Brown REPRESENTATION OF PARTIES: For Claimants: Alan S. Wachs, Esq. and Craig D. Feiser, Esq., Voipe, Bajalia, Wickes, Rogerson & Wachs, Jacksonville, Florida. For Respondent: Theodore R. Snyder, Esq., Krebsbach & Snyder, New York, New York. NATURE OF DISPUTE: Customer v. Member. DATE FILED: September 23, 2010. CASE SUMMARY: Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04025 Marilyn Berger Barry Berger Respondent Hearing Site: Boca Raton, FL Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marilyn Berger and Barry Berger, hereinafter collectively referred to as "Claimants": Steven D. Toskes, Esq., Klayman & Toskes, P.A., Boca Raton, FL. For Morgan St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01790 Woodbury Financial Services, Inc. Respondent Hearing Site: Orlando, FL Randall G. Deane Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Woodbury Financial Services, Inc., hereinafter referred to as "Claimant": Martin S. Chester, Esq. and Justin P. Krypel, Esq., Faegre & Benson LLP, Minneapolis, MN. For Rand

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04642 Frank C. Taylor Respondent Hearing Site: Memphis, Tennessee UBS Financial Sen/ices Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Frank C. Taylor, hereinafter referred to as "Claimant": F. Chet Taylor, Esq., Taylor Law Office, PLC, Minneapolis, Minnesota. Fo

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00599 Jack Chester (Claimant) vs. The GMS Group, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Chicago, IL. For Respondent appeared Thomas M. Regenye, The GMS Group, LLC, Livingston, NJ. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 10, 2011 CASE SUMMARY: Claimant alleged that there was a discrepancy between the purchase price of the bond and the market value shortly the

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00279 UBS Financial Sen/ices Inc. (Claimant) vs. Susan N. Keator (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ernest W. Irons, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared David O.N. Johnson, Esq., Meyer, Puklich, Merriam & Johnson, PLC, Eden Prairie, MN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 20, 2011 CASE SUMMARY: Claimant ass