Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ladi Adebonojo (Claimant) vs. Eric Small and SBK Brooks Investment Corp. (Respondents) Case Number: 07-00610 Hearing Site: New Yorii, New Yori« Nature of the Dispute: Associated Pereon vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Ladi Adebonojo hereinafter referred to as "Claimant": Richard V. Kanter, Esq., Attorney at l-aw, Melville, NY. Claimant previou

Award FINRA Dtepute Reaolution In the Matter of the Arbttration Between: Names of the Ciaimante Case Number: 09-02004 Joseph Schuessler Diane Schuessler Name of the Respondent Hearina Stte: Boca Raton, Florida WAfhAU Investinente, Inc. Nature of the Dispute: Customer vs. Memfoer. REPRESENTATION OF PARTIES For Joseph Schuessler and Diane Schuesster, hereinafter collectively refened to as "Clalmante": Gregory S. Tendrich, Esq., Gregory Tend

Award HNRA Dispute Reaolution In ttie Matter of the Art)ltration Between: Name of ttie Claimant Case Number 09-01425 Eari J. Smtth Names of tfie Respondente Hearina Site: Rateigh, IStorth Carolina TD Ameritarade, inc. Brian Fehr Donna Givner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARnES For Eari J. Smtth, hereinafter referred to as 'CtelmanT: John C. Randall, Esq., John C. Randall and Assoc

Case Number: 09-03944 Hearing Stte: Louisvilto, Kentucky NATURE OF THg DISPUTE Customere vs. Memfoer REPRESENTATION OF PARTIES Jeffrey and Linda Kraemer ("Ciaimante") appeared pro se. UBS Finandai Senrioes, Inc. ("Respondenr) was represented foy John O. Murphy, Esq., UBS Finandai Senrices, Inc., New Yoric, New Yoric. CASE INFORMATION The Statement of Claim was filed on or about June 26,2009. The Sufomission Agreement of Ciaimante, Jeffiey and Linda K

AWARD FINRA Dtepute Resolution In the Matter of the Ariaitration Between: Name of Claimant David Gipson vs. Case Number 07-02801 Hearing Site: Detroit, Mkshigan Names of Respondente GunnAllen Financial, Inc., Frank J. Bluestein, Questar Capitel Corporation, Maximum Finandai Group, Inc., and F.F.. Inc. and Name of Cross-Claimant GunnAllen Finandai, Inc. vs. Name of Cross-Respondent Quester Capitel Corporation and Na

AWARD FINRA Dtepute Reaolution In ttie Matter of the Art)itratton Between: Names of Cteimante Date Z. Jabtonski, IndivkJuaily and as Trustee of the Jabtonski Tmst F/B/0 and Date JablonskI and Mary L. Jabtonski, IndivMually and as Trustee of the Bujack Trust F/B/0 Mary Jabtonski vs. Case Number 09-00728 Hearing Site: Detroit, Mtohigan Names of Respondente Transamerica Financial Advisors, Inc., and Mkshael Czemy MATURE OF THE DISPUTE

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lena M. Byer vs. Case Number 09-00612 Hearing Site: Pittsburgh, Pennsyhrainia Names of Resoondents IMetLife Securities, Inc., and Park Avenue Securities, LLC NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Lena M. Byer ("Claimant") was represented by Bruce D. Oakes, Esq.. Cakes & Fosher, LLC, St. Louis, Missouri. MetL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stifel, Nicolaus & Company. Incorporated (Claimant) vs. Anthony Amato and Irene F. Kim (Respondents) Case Number: Og-04998 Hearina Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company. Incorporated, hereinafter referred to as "Claimant": Jeffrey C. Primiano. Esq., Stifel Nicholas & Company. Incorporat

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04250 Shea Schuiman (Claimant) vs. Edward D. Jones & Co., L.P., and Laurence Levy (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Lisa Catalano, Esq., St. John's University School of Law, St. Vincent De Paul Legal Program, Inc., Securities Arbitration Clinic, Queens. NY. For Respondents appeared Mark G. Vaughan, Esq., Law OfTices of Joseph D'Elia, Esq., Huntington, NY. NATURE OF DISPUTE: Customer

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Jan R. Can- (Claimant) vs. Willow Grove Bank n/k/a Willow Financial Bank, Willow Grove Bancorp, Inc. n/k/a Willow Financial Bancorp, Inc., and UVEST Financial Services Group, Inc. d/b/a Wilkiw Investment Services (Respondente) Case Number 08-04609 Hearina Site: Philadelphia, Pennsyh/ania Nature of the Dispute: Assocteted Person vs. Member and Non-Membere. Claimant Jan R.