AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-00081 Hearing Site: Dallas, Texas Name of Respondent William Eariy Van Cleve Member v. Associated Person REPRgSENTATIQN OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Gregory B. Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois. William Eariy Van Cleve ("Respondenr) was represen

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Piper Jaffray & Company, Incorporated vs. Case Number: 08-02601 Hearing Site: Minneapolis, Minnesota Names of Respondents / Counter-Claimants Stifel NIcolaus & Company, Incorporated, David B. Holden, Lindsay L. Paine, Michael H. Pellicci, John L. Kuny, Zigmund C. Peret, Neil A. Koepcke, John S. Pinto, Christopher R. Peterson,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of Claimant Thelma Louise Gainer vs. Names of Respondents NYLife Securities, LLC, Primevest Financial Services, Inc., and Robert C. Koeller Case Number 08-01318 Hearing Site: Chicago. Illinois Customer vs. Members and Associated Person Thelma Louise Gainer ("Claimant") was represented by Joel M. Weiner, Esq., Law Offices of Joel M. Weiner, LLC, Palatine, Il

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenhelmer & Co.. Inc. (Claimant) vs. Richard J. Riccio (Respondent) Case Number: 08-03302 Hearina Site: New York, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenhelmer & Co., Inc., hereinafter referred to as "Claimant": Diana Sur, Esq., Oppenhelmer & Co., Inc, New York, NY. Respondent Richard J. Riccio hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Emily Czelusniak, Linda Dudek, and Joan Boutin (Claimants) vs. Peter Borello, Richard Crews, and UBS Paine Webber (Respondents) Case Number: 09-02683 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants Emily Czelusniak ("Czelusniak"). Linda Dudek ("Dudek"), and Joan Boutin ("Boutin"), hereinaf

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05529 Paul P. Geier (Claimant) vs. The GMS Group. LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Leonardo Trivigno. Esq.. Carter Ledyard & Milburn, LLP. New York. NY. For Respondent appeared John E. Jenkins. Esq.. Lubiner & Schmidt. LLC. Cranford, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 23. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05363 Valerie Doherty (Claimant) vs. Jeffrey Gromos and Edward Jones (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cleanvater, FL. For Respondents appeared Dennis J. Capriglione. Esq., Edward Jones, St. Louis. MO. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: September 9, 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability and mismana

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04757 CNS Corporation (Claimant) vs. Morgan Stanley Smith Barney LLC (Respondent) REPRESENTATION OF PARTIES: For Claimarrt appeared James L. Buchal. Esq., Murphy & Buchal LLP, Portland, OR. For Respondent appeared Harper Fertlg-Robinson, Esq., Morgan Stanley Smith Barney, New Yori^, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 12, 2009 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04366 Paul Schwenn and Ginette Schwenn TTEE for Paul W. and Ginette Schwann Family Trust (Claimants) vs. Banc of America Investment Services, Inc., and Craig Luchinetti (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Auburn, WA. For Respondents appeared Genna Stephens. Esq.. Fulbright & Jaworski, L.L.P., Dallas. TX. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gilbert Millstein (Claimant) vs. Oppenhelmer & Co., Inc. (Respondent) Case Number: 08-03749 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gilbert Millstein hereinafter referred to as "Claimant": David M. Levy, Esq.. Robinson Brog Leinwand Greene Genovese & Gluck P.C.. New York, NY. Respondent Oppenhelmer