Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03510 John S. Williams, Individually, as Trustee of the Williams Family Trust of 1987 DTD 11/05/1987, and as Trustee of the Williams Family Bypass Trust U/A DTD 11/05/1987 John D. Williams, acting under Power of Attorney for John S. Williams and as Successor Trustee of the Williams Family Trust of 1987 DTD 11/05/1987, and as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wally Paul Grant (Claimant) vs. Charles Schwab & Co., Peter Pavlakis, and James Luther (Respondents) Case Number: 09-06421 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wally Paul Grant ("Claimant"): Ira Scot Meyerowitz, Esq., Meyerowitz Jekieiek PLLC, New York, NY. Respondents Charles S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah A. Dee (Claimant) vs. Bank of America, N.A., Banc of America Investment Services, Inc.. Nicholas Cafaro, and Patrick Sands (Respondents) Case Number: 09-06861 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. I^ember, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimant Deborah A. Dee, hereinafter refen-ed to as "Claimant": David J. Pa

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03610 David Fanella (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Mateo, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 10, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary duty and unsuitabilit

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03568 Sheldon Teichman and Karen Teichman (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Sheldon Teichman, Monroe Twp, NJ. For Respondent appeared Meredith Faro, Esq., Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: August 5, 2010 CASE SUMMARY: Claimants asserted the following cause of action: una

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Woodrow & Joyce Vermillion vs. Names of Respondents Ameriprise Financial Services, inc. and Dean Michael Donohue Case Number: 09-05884 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Woodrow & Joyce Vermillion ("Claimants") were represented by Randall S. St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 09-05568 The William F. Runge Revocable Trust u/a/d 04/12/06, by its Co-Trustee, Nicole A. Secrest Nicole A. Secrest, individually and on Behalf of her IRA, The William F. Runge IRA, by its Beneficiary, Nicole A. Secrest The Trust Created f/b/o Nicole A. Secrest u/a Dated 4/12/06, by Its Trustee, Valerie A. Secrest Names of the Respond

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01336 Myra C. Pierotti Names of the Respondents Hearing Site: Memphis, Tennessee Edward Jones and Julia San Roman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Myra C. Pierotti, hereinafter referred to as "Claimant": Fred M. Acuff, Jr., Esq., Farris Bobango Branan PLC, Memphis. Ten

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Clainnant Case Number: 09-05535 Maria A. Thornton Names of the Respondents Hearing Site: Tampa, Florida Investors Capital Corp. Merrill Lynch, Pierce, Fenner and Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Maria A. Thornton, hereinafter referred to as "Claimant": Bruce D. Cakes, Esq., Cakes & Fosher, LLC, St. Loui

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01691 Morton E. Wolverton Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird & Co., Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATiON OF PARTIES For Claimant Morton E. Wolverton, hereinafter referred to as "Claimant": William T. Kirtley, Esq., William T. Kirtley, P.A., Sarasota, Florida.