Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01149 Ellen L. Brown Name of Respondents Hearing Site: Los Angeles, California Neuberger Bemnan. LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of tiie Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, Ellen L. Brown, hereinafter referred to as "Claimanf: Marc i. Zussman, Esq., Law Office of Marc I.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-04679 Thomas D. Gant Gant-Springville Comers, LLC Name of Respondents Hearing Site: Seattle, Washington Pacific West Securities, Inc. Private Consulting Group, Inc. James R. Feek Thomas G. Justice Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, Thomas D. Gant ("Gant") a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04000 Irvin Robbins Rev Trust U/A/D 9/16/91 by Elaine S. Robbins, Trustee Respondent Hearing Site: Jacksonville, Florida Investors Capital Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Irvin Robbins Rev Trust U/A/D 9/16/91 by Elaine S. Robbins, Trustee, hereinafter referred to as "Claimant": Robert H. R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05519 Randolph Haaran (Claimant) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Woodstock, NY. For Respondent appeared Joseph K. Donovan, Esq., Bressier, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Decembers. 2010 CASE SUMMARY: Claimant asserted the following cause of action: negligence. The cause of action relates

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05181 Morgan Stanley Smith Barney Name of Respondents Hearing Site: San Francisco, California Sean Anthony Lehmann Kurt J. Halverstadt Capital Investment Management Group, Inc. Nature of Dispute: Member vs. Associated Persons and Non-Member REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, hereinafter referred to as "Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 08-02399 Kimberiy W. Hutcheson Name of Respondents Hearing Site: Dallas. Texas Citigroup Inc. Citigroup Global Markets Inc. Stephen Caine Audrey Gibson Gary Cartay Nature of Dispute: Associated Person vs. Member. Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kimberiy W. Hutcheson, hereinafter referred to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04053 Chanht Reatrey Keo (Claimant) vs. Scottrade Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Rafael, CA. For Respondent appeared Les B. Hairrell, Esq., Los Angeles, CA and Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 13, 2010 CASE SUMMARY: Claimant alleged that Respondent improperly charged her acco

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04755 Andrew Schroder (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Delray Beach, FL. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 18, 2010 CASE SUMMARY: Claimant asserted the following causes of action: errors in processing orders; unauthorized transactions; negligence;

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Loren J. Hulber (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 08-03635 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Loren J. Hulber, hereinafter referred to as "Claimant": Joel D. Feldman, Esq., Anapol, Schwartz, Weiss, Cohan, Feldman & Smalley, P.C., Philadelphia, PA. Respondent Wacho

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04627 June S. McAnally Revocable Living Trust, By and through William H. Watkins, Jr., as Trustee (Claimant) vs. Morgan Keegan & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: ~ For Claimant appeared Robert Wayne McPherson, Esq., McPherson Law Office, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq., Bass, Berry & Sims PLC, Memphis, TN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 12, 2