Aivard RNRA DIaputo Reaoiutlon In the Matter of the Arbitratton Between: Name of the Claimant Caae Number 07-02962 Thomaa Devera Names of the RMPOTrigntff Hearino Site: Boca Raton, Rorida Jesup & Lmnont Securtttes Corp. Empire Fhandal Qroup, Inc. Stephen J. DeGroat Peter McMullln Robert M. Wassennan Naturs of the Dispute: Associated Person vs. Member and Associated Person. HEPRESEWTATIQN OF PARTIES For Thomas Davers, hereinafter r

AWARD I FINRA DISPUTE RESOLUTION CASE: 09-05065 j Joseph Kelly and May F. Kelly (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith. Inc. I (Respondent) • REPRESENTATION OF PARTIES: | Claimante appeared pro se. La Seu, Spain. For Respondent appeared Eric Glassman, Esq., Mennemeier, Glassman & Stroud LLP, Sacramento, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: August 31, 2009 CASE SUMMARY: Claimante asserted the fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Arnold Chase Family, LLC, Chase Enterprise IHoldings, LLC, Cheryl Chase Family. LLC, DTC Family Investmente. LLC. The Cheryl Anne Grantor Trust, and The Darland Trust (Qaimante) v. UBS AG. UBS Securities LLC, and UBS Financial Services Inc. (Respondente) Case Number: 08-01117 Hearina Site: IHartford. Connecticut Nature of the Dispute: Customers vs. Membere and Non-Member REPRESE

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05197 Warren A. Powers Tnjst (Claimant) vs. LPL Financial Corporation and Kevin Richard Wiciiman (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Warren A. Powers, Dayton, OIH. For Respondents appeared David J. Frenlere, LPL Financial Corporation, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 1, 2009 CASE SUMMARY: Claimant asserted the following caus

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce Means vs. Case Number 08-03866 Hearing Site: Oklahoma City, Olclahoma Names of Respondents Morgan Keegan & Company, Inc. and James C. Kelsoe, Jr. MATURE OF THg DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Bruce Means ("Claimanr) was represented by Adam J. Gana, Esq., Napoii Bern Ripka, LLP. New York, New Y

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05598 Michele Bellet Morris (Claimant) vs. Stiarone IHalcman (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santa Monica, CA. For Respondent appeared Vanessa M. Hoffman, Esq., Weils Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: September 25. 2009 CASE SUMMARY: Claimant asserted the following cause of action: misrepresentation. The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05723 Evans Benton (Claimant) vs.TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Little Rock, AR. For Respondent appeared James J. Vihstadt, TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 24. 2009 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of investment. The cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05334 Michael M. Crenshaw and Beth Crenshaw (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Millville, MA. For Respondent appeared John Bersin, E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 12. 2009 CASE SUMMARY: Claimante asserted the following cause of action: mistaicen margin calls. The cau

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc. (Claimant) vs. Mark Adams (Respondent) Case Number 08-02559 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter refemed to as "Claimant": Peter Byer, Esq., Oppenheimer & Co. Inc., New York, NY. Respondent Mark Adams hereinafter referred to as "Respon

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: IHenrietta Siivennan (Claimant) vs. Stifel Nicoiaus & Company, Inc. (formerly Ryan Becic & Co.), Barry Richter, and Sheila Ruth Richter (Respondents) vs. Leonard Weintraub (Third-Party Respondent) Case Number: 08-04330 Hearing Site: New York, New Yoric Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Persons. Third-Party Claim: Member and Associated P