AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donna G. Leinert-Clegg, both Individually and on Behalf of her IRA vs. Names of Respondents Westminster Financial Securities, Inc., Waterstone Financial Group, Inc., and Mark Wayne Mills Case Number: 08-03605 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Donn

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David W. Thompson vs. Case Number: 09-00022 Hearing Site: Milwaukee, Wlscx)nsin Name of Respondent Pavek Investments, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES David W. Thompson ("Claimant" or "Thompson") was represented by Howard M. Rosenfield, Esq.. Law Office of Howard M. Rosenfield, Farmington, Connecticut.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services. Inc. vs. Name of Respondent Gabrell Christian Chambers Case Number: 09-00253 Hearing Site: Dallas, Texas Member vs. Associated Person mON OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fischer. Esq., Ronald P. Kane, Esq.. and Thomas A. Volz, Esq., Kane & Fi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-03733 Sharon Schoenfeld ResDondent Hearing Site: Denver, Colorado Charies Schwab & Co.. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Sharon Schoenfekl, hereinafter referred to as "Claimant": Lisa Welch Stevens, Esq., Northgate Law Offices. Colorado Springs, Colorado. Respondent, Charles Schwab & Co., Inc

Award FiNRA Dteputo Resolution In the Matter of the Art)ltration Between: Name off the Claimante Case Number 08-02173 Laurence Rivkin, individually; Laurence Rivkin as trustee of the LNR Family Tmst dated 8/2/1987 and the Laurence Rivkin IRA Roitover Name of the Resoondente Hearing Site: San Diego, CalHbmia Charies Schwab & Co., inc.; The Charies Schwab Corporation and Charies Schwab Investment Management, Inc. Nature of the Dispute

Award FINRA Dispute RMOiutlon In the Matter of the Art)ltratk>n Between: Nanw of the Claimant Michael A. Pappas Case Number 08-02993 Name of the Respondent Hearing Site: Denver. Colorado Raymond James & Associates, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael A. Pappas hereinafter refenBd to as 'daimanT: Marc F. Colin, Esq., Bmno, Colin. Jewell & Lowe, P.C., Denver. Colorado Responden

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Arthur G. Schmidt Living Tmst, dated May 4, 2000 vs. Names of Respondents Edward D. Jones & Co., L.P. and Patrick Dorcey Case Number: 08-00578 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES The Arthur G. Schmidt Living Trust, dated May 4, 2000 ("Claimant") was repr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley A. Gregor (Claimant) vs. Commerce Capital Markets, Inc. (Respondent) Case Number. 08-04657 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stanley A. Gregor hereinafter referred to as "Claimant": Joseph J. Sullivan, Esq., Sheindlin & Sullivan, LLP, Brooklyn, NY. Respondent Commerce Capital M

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01567 Balasubramanian Ganesh and Bhuvaneswari Balasubramanian (Claimants) vs. Bank of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Piano, TX. For Respondent appeared Nikole Crosby, Esq., Fulbright & Jaworski, LLP, Dallas, TX. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 23, 2009 CASE SUMMARY: Claimants asserted the following cause of action: co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew B. Proman (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-03348 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Matthew B. Proman, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., Randy Scott Zelin, P.O., Westbury. NY. Respondent TD Ameritrade. Inc.. hereinafter referred to as