Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft, Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Citigroup Global Markets, Inc. Case Number: 09-01796 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beilram E. Barnett Jr. ("Barn

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Betweeh: Name of Claimant / Counter-Respohdent Charies Schwab & Co., inc. vs. Name of Respondent / Couhter-Claimant Douglas Kuhlman Case Number: 09-03578 Hearing Site: Cleveland, Ohio NATURE QF THg DISPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Charles Schwab & Co. , Inc. ("Claimant" or "Chailes Schwab") was represented by Michael R. Greco, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01294 Delmer B. Seitter, Jr. Patty S. Seitter Names of the Respondents Hearing Site: Raleigh, North Carolina SunTrust Investment Services, Inc. SunTrust Bank Jerry W. Smith Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Delmer B. Seitter, Jr. ("Delmer") and Patty S. S

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06768 Seymour Lowell and Lee G. Lowell Name of the Respondent Hearing Site: Boca Raton, Florida Ameriprise Advisor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Seymour Lowell and Lee G. Lowell, hereinafter collectively referred to as "Claimants": Scott L. Silver, Esq., Blum & Si

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01848 Pamela K. Mah Name of Respondent Hearing Site: Honolulu, Hawaii Financial Advisers of America, LLC Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Pamela K. Mah, hereinafter referred to as "Claimant": Pamela K, Mah, pro se, Kapolei, Hawaii. Respondent Financial Advisers of America, LLC, hereina

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-01436 James Jones Lillie Jones Name of the Respondents Hearing Site: Los Angeles, California Nexcore Capital, inc. Michael J. Mclntyre Jay S. Potter, Jr. Dennis E. Beeby Reid D. Scofield Peter M. Stem Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, James Jones

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois M. Santarsiero (Claimant) vs. TD Ameritrade, Joshua H. Kenney, Ryan Lewis and Michael lannucci (Respondents) Case Number: 09-07212 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lois M. Santarsiero, hereinafter referred to as "Claimant", appeared pro se. Respondents TD Ameritrade ("Ameri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00620 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Atlanta. Georgia Robert Scott Wilder Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Eric Jon Taylor, Esq., Parker Hudson Rainer & Dobbs, LLP, Atla

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02042 Wells Fargo Advisors, LLC (Claimant) vs. Jonathan Dameron (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 30, 2010 CASE SUMMARY.- Claimant asserted the following cause of action: breach of retention award agreem

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02640 Peter H. Stockmann (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jamesville, NY. For Respondent appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 2, 2010 CASE SUMMARY: Claimant alleged that Respondent breached an agreement when they assessed fees for account inactivit