Award FINRA Dispute Resolution In the Matter of the Arbitration Between: National Financial Services, LLC (Claimant) vs. Stroud Capital Fund, LP, Stroud Capital Management, LLC, Stroud Capital OR, LLC, and John David Stroud (Respondents) Case Number: 09-05172 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers and Non-Members. REPRESENTATION OF PARTIES Claimant National Financial Services, LLC hereinafter referred to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01782 Joanne Tweed Respondents Hearing Site: San Diego. Califomia UBS Financial Services Inc. Richard A. Mechikoff, Jr. Robert H. Gunning Mari< R. Swan Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Joanne Tweed, hereinafter referred to as "Claimant": Joanne Tweed, San Diego, Californ

AWARD FINRA Dispute Resoiutlon I n the Matter of the Arbitration Between: Names of Gteimants/Gounter-Respondents Larry Garon and Lori Garon vs. Name of Respondent/Counter-Claimant E*Trade Securities, LLC Case Number: 09-03574 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Larry Garon and Lori Garon, hereinafter collectively referred to as "Claimants," were represented by Mark S. Gr

STIPULATED AWARD FtNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edward Heet and Barbara Heet vs. Case Number: 09-02974 Hearing Site: St. Louis, Missouri Name of Respondent Wachovia Securities, Inc. NATURE OF THg DISPUTE Customers VS. Member REPRESENTATION OF PARTIES Edward Heet and Barbara Heet, hereinafter collectively referred to as "Claimants," were represented by Stuart R. Beri< owitz, Esq. La

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02072 Fae Gedz, Individually and as Trustee of The Fae Gedz Trust Revocable U/A (Claimants) vs. Charies Schwab & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Keith L. Griffin, Esq., Griffin Law Firm, LLC, Indianapolis, IN, For Respondent appeared Richard A. Karoly, Esq., Charies Schwab & Company, Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: l\/lay 3

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Homer Martin vs. Case Number. 09-06311 Hearing Site: Houston, Texas Name of Respondent Riverstone Wealth Management, Inc. NATURE OF THE PISPUTe Customer vs. Member REPRESENTATION OF PARTIES Homer Martin ("Claimant" or "Martin") was represented by Royal Lea, III, Esq.. Bingham & Lea, PC, San Antonio, Texas. Riverstone Wealth Management, Inc. (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00080 UBS Financial Services Inc. Respondent Hearing Site: Denver, Colorado James F. Dowley Nature of Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc., hereinafter referred to as "Claimant": Michael T. Roche, Esq., Schuyler, Roche & Crisham, P.C., Chicago, Illinois. Respondent, James F. Dowl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06220 Bolen Family Trust Eari D. Bolen IRA Respondents Hearina Site: Los Angeles, California Morgan Stanley Smith Barney Christopher Richard Price Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Bolen Family Trust and Eari D. Bolen IRA, hereinafter collectively referred to as "Claimants"

Case Number: 09-04525 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kilbane Plumbing and Heating, Inc. ("Ciaimanf or "Kilbane") was represented by Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, Ohio. Ferris Baker Watts, LLC ("Respondent" or Terris Baker") was represented by Daniel J. Donovan, Esq., Donovan & Rainie, LLC, Baltimore, Maryland. CASE INFOft^^jl^TiON The Statement of Cla

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George Allibone. June Allibone, and Allibone Family Limited Partnership vs. Case Number: 09-04204 Hearing Site: Houston, Texas Names of Respondents Wells Fargo Advisors, LLC, Wachovia Securities, LLC, A.G. Edwards & Sons, LLC, and Joseph C. Klages and Nolan S. Caldwell NATURE OF THE DISPUTE Customers vs. Members and Associated Persons R