Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Wealth Management (Claimant) vs. Newell Anderson (Respondent) Case Number: 09-00095 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Wealth Management hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss and Early LLP, New York, NY. Respondent Newell Anderson hereinafter refe

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Regal Securities, Inc. (Claimant) vs. Irving Martinez and Jaime Rodriguez (Respondents) Case Number: 08-00477 Hearing Site: New Yorl< . New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Regal Securities, Inc. ("Claimant"): Nicholas P. lavarone, Esq., The tavarone Law Office, Glenview, IL. Respondent Irving Martinez ("Martinez")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Mari^ets, inc. d/b/a Smith Barney (Claimant) vs. John Leonetti (Respondent) Case Number: 08-04393 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Catania T. Facher, Esq.. Alonso. Andalkar & Kahn. P.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03716 Dr. David D. FeuerTTEE David Feuer DDS Profit Sharing Trust & 401K Plan, U/A 7/13/77, Dr. David D. Feuer TTEE David Feuer DDS Profit Sharing Trust & 401K Plan. U/A 7/1/03, David D. Feuer, Individually and as TTEE David D. Feuer Trust U/A 11/29/96 and Susan G. Feuer (Claimants) vs. vFinance investments. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Marc S. Dobin, Esq., LaBovick & LaBovick, P.

Award Data Award: $5,885.00 interest: $0.00 Costs: (Collection Fees) $1,475.00 Costs: $0.00 AWARD: The undersigned arbitrator has decided and detennined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $5,885.00. 2) Ail requests for interest are denied. 3) Respondent is liable for and shall pay to Claimant costs in the amount of $1.475.00. 4) A

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Edward C. Napier vs. Case Number: 09-02065 Hearing Site: Dallas, Texas Names of Respondents Chase Investment Services Corp.. and Steve Schulman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward C. Napier ("Claimant") appeared pro se. Chase Investment Services Corp. ("CISC") and Steve Schulman ("

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Melman vs. Case Number: 09-01725 Hearing Site: Minneapolis, Minnesota Name of Respondent Ameriprise Financial Services, inc. I^ATURE OF THE DlgP^TE Customer vs. Member REPRESENTATION QF PARTIES Michael Melman ("Claimant") appeared pro se. Ameriprise Financial Services, Inc. ("Respondent") was represented by Courtney R. Reid, Esq., Ame

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00958 Sandra Siayton (Claimant) vs. Wachovia Securities, LLC. Wachovia Banl^ NA, Tom Greasor, and Evelyn Scarsborough (Respondents) FTEPRESENTATION OF PARTIES: For Claimant appeared Erienne J. Roberts, Esq.. Duquesne University Law School. The Securities Arbitration Practicum. Pittsburgh, PA. For Respondents Wachovia Securities, LLC, Tom Greasor, and Evelyn Scarsborough appeared Deirdre Wolff. Esq.. Wells Fargo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02026 Timothy E. Parl^er (Claimant) vs. Ameriprise Financial Services. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Minneapolis, MN. For Respondent appeared Cathy Gross Springer, Esq., Ameriprise Financial Services, Inc.. Minneapolis, MN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 9, 2009 CASE SUMMARY: Claimant alleged that Respondent's failure to register his lic