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

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02803 iViax International Broiler Dealer Corp. (Claimant) vs. IViouiero Uh Zossou (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gig! Parse, iVIax Intemational Broiler Dealer Corp., New Yorl< , NY. Respondent appeared pro se, Brooi< lyn. NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED". Uay 15, 2009 CASE SUMMARY: Claimant asserted the following causes of action: Intentional misreprese

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03846 Martha Laura Howse Names of the Respondents Hearing Site: Oriando, FL TD Ameritrade. Inc. TD Ameritrade Holding Corporation Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Martha Laura Howee, hereinafter referred to as "Claimant", appeared pro so. At various stages in this case, Claimant w

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-02983 Marc Hanish Respondent Hearing Site: San Francisco, California Fidelity Brolcerage Sen/ices LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Marc Hanish. hereinafter referred to as "Claimant": Marc Hanish, In Pro Se, Monte Sereno, Califbmia. Respondent, Fidelity Broiterage Services LLC, hereinafter refen

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant investment Professionals, inc. vs. Names of Respondents Marie Alien Bratton and Aiana Sue Sanderson Case Number: 09-01912 Hearing Site: Houston, Texas Member vs. Associated Persons REPRESENTATION OF PARTIES investment Professionals, Inc. ("Claimant" or "IPl") v^as represented by Christopher H. Tovar, Esq., investment Professionals, inc., San Antonio,

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Ronald Edward Hardy, Jr. vs. Name of Respondent / Counter-Claimant Thomas Zuil^owsky and Name of Third-Partv Claimant Thomas Zuilcowsky vs. Name of Third-Partv Respondent Aura Financial Services, Inc. Claimant Thomas Zulkowsky vs. Names of Respondents Aura Financial Sen/ices, Inc. and Ronald Edward IHardy,

AWARD FiNRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Nicl(oias J. Batis and Carol Ann Batis vs. Names of Respondents Stifei Nicoiaus & Co., Inc. and Philip A. KontuI Case Number: 09-00235 i-iearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Nickolas J. Batis and Carol Ann Batis ("Claimants") were represented by Arnold

AWARD FINIRA Dispute Resolution in the Matter of the Arisitration Between: Names of Claimants Chariotte Lucas, individually and as Trustee of the Chariotte Lucas Trust dated 2/5/04 vs. Names of Respondents Broad Street Securities, Inc., HBB, Inc.. iVIichael J. Parker, Mary Phiiomena Mada, and Stuart Gregory Burchard Case Number 08-04604 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member, Associated Persons

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael and Ann Gibson Living Tmst vs. Name of Respondent Interactive Broilers. LLC and Name of Third-Party Claimant Interactive Broilers, LLC vs. Name of Third-Partv Respondent Michael B. Gibson and Ann M. Gibson d/b/a Investment Enterprises. LLC NATURE OF THE DISPUTg Customers vs. Member REPRESENTATIOM OF PARTIES Michael and Ann Gib

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dean A. l\^yerow, Norman E. Wetmore, Jr. and Charles P. Gilbride vs. Name of Respondent Arkansas Affordable Housing Partners Case Number: 09-00658 Hearing Site: Columbus, Ohio NATURE OF Associated Persons vs. Customer REPRESENTATION OF PARTIES Dean A. Myerow, Norman E. Wetmore, Jr., and Charles P. Gilbride ("Individual Claimants")