Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Ameriprise Advisor Services, Inc. Ameriprise Financial Services, Inc. Respondent Alfred Keyser Case Number: 10-00550 Hearing Site: Washington. D.C. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc. ("/\ASI") and Ameriprise Financial Services, Inc. ("AFSI"), hereinafter collectively referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-01289 PMW Partners d/b/a Capital Trust Wealth Management Group Name of Respondents Hearing Sites: Birmingham, Alabama NBC Securities, Inc. RBC Centura Banks, Inc. Nature of the Dispute: Non-Member vs. Member and Non-Member. REPRESENTATION OF PARTIES For PMW Partners d/b/a Capital Trust Wealth Management Group, hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02167 Kimon P. Daifotis Name of Respondent Hearing Site: San Francisco, California Jinni A. Harrigan Trust U/A DTD 4/26/2002 Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Kimon P. Daifotis, hereinafter referred to as "Daifotis" or "Claimant": Audette Paul Morales, Esq., Keesal, Young & Logan, Lo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02336 Roland Lee Name of Respondents Hearing Site: San Francisco, California CapWest Securities, Inc. Patrick Burke Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Roland Lee, hereinafter referred to as "Claimant": Irwin Stein, Investors Recovery Services, Novate, California. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charies P. Churchill (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 08-03790 Hearing Site: New Yorie, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Charies P. Churchill, hereinafter refenred to as "Claimanf: Richard J. Braun, Esq., Braun & Associates PLLC, Nashville, TN. Previously represented by Randy T.

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Primary Capital. LLC (Claimant) vs. Richard Dorsi (Respondent) Case Number. 10-04198 Hearing Site: New Yorie, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Primary Capital, LLC, hereinafter refened to as "Claimant": Gregory P. Vidler. Esq., Guzov Ofeink, LLC, New York. NY. Respondent Richard Dorsi, hereinafter referred to as "R

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Kenneth Willenson and Layton Property, Inc. vs. Case Number: 08-04243 Hearing Site: Milwaukee, Wisconsin Names of Respondents Pacific West Securities, Inc., William M. Swayne II, Philip A. Pizelo, Shanon L. Ford, and Mark T. McCloskey NATMRE PF THE PI?PV!TE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Ken

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Joan Bonert, Individually and as Trustee for the Joan Bonert Trust U/A/D 11-25-87 vs. Name of Respondent/Counter-Claimant/ Third-Party Claimant AOS, Inc. vs. Name of Third-Party Respondent Michael Westmoreland Case Number: 09-05257 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customer vs. Member vs. Associa

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Nicholas Palumbo (Claimant) v. E*Trade Securities LLC and E*Trade Clearing LLC (Respondents) Case Number: 09-06565 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Nicholas Palumbo, hereinafter referred to as "Claimant" was represented by Dominic J. Aprile, Esq., Bathgate, Wegener & Wolf, Lakewood, NJ until

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC (Claimant) vs. Robert Durham (Respondent) vs. William R. Cashman, III (Third-Party Respondent) Case Number: 10-01020 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith