AWARD FINRA DISPUTE RESOLUTION CASE: 10-04842 Securities America, Inc. (Claimant) vs. Kathleen Jena Lofiin (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory Clai

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05041 UBS Financial Services Inc. (Claimant) vs. Joseph Bazbaz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Frisco, TX. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 5, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjust enrich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02613 Fred Chouinard Respondent Hearing Site: Miami, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Fred Chouinard, hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, Fort Lauderdale, Florida. For Charles Schwab & Co., Inc., hereinafter referred to as "Responde

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05331 Andrew James Duckett (Claimant) vs. LPL Financial Corporation and PremierWest Bancorp (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Roseville, CA. For Respondent LPL Financial Corporation appeared David Markun, Esq., and James D. Vannah. Esq., LPL Financial Corporation, Boston, MA. Respondent PremierWest Bancorp did not enter an appearance in this matter. NATURE OF DISPUTE: Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Peoples State Bank Respondents FTN Financial Securities Corporation FTN Financial Capital Markets Michael Park Case Number: 09-06234 Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Peoples State Bank, hereinafter referred to as "Claimant": Judy Barrasso, Esq. and St

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05497 Ameriprise Financial Services, Inc. Respondent Hearing Site: Washington. D.C. David Bekenstein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian Esq. and Jana E. Bruder Esq.. Dorsey & Whitney LLP, Minnea

Award FiNRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimants Case Number 09-05377 Roderick Hunt Chariotte Hunt Name of Respondents Hearing Site: Portland, Oregon New Castle Financial Services LLC Anthony F. Lodati Richard H. Crockett Jeffrey L. Offen Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants. Roderick Hunt and Chariotte Hunt, hereinafter co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number 09-04660 John and Roneale (Sue) Ports Name of Respondents Hearing Site: Los Angeles, Caiifomia Scott T. Brandt Westtbridge Financial and Insurance Services, Inc. Lighthouse Capital Corporation Richard L. Clarke Joe L. Brandenburg Brandenburg & Clarke Packeriand Brokerage Services, Inc. Nature of Dispute: Customers vs. Members

Award FINRA Dispute Resolution In the Matter of the Art}itration Behveen: Name of Claimant Case Number: 09-00017 Gerard Baiian Name of Respondent Hearing Site: Los Angeles, California TD Ameritrade, inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Gerard Baiian, hereinafter referred to as "Claimant": Gerard Baiian, pro se, Channes sur L'Herbasse, France. Respondent, TD Ameritrade, Inc., hereinafter refene

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number 10-01145 Jason Solomon and Janet Solomon, Trustees of tiie Jason H. Solomon and Janet Solomon Tmst Dated 1/31/2007 Name of Respondent Hearing Site: San Francisco, California Oppenheimer& Co., Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Jason Solomon and Janet Solomon, Tmstees of tiie Jason H. Solomon