STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-04230 Pearlene Perry Love (Claimant) vs. Fidelity Brokerage Sen/ices, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Bedford, TX. For Respondent appeared Corin R. Swift. Esq.. Bingham McCutchen, LLP. Portland, ME. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: November 14. 2008 CASE SUMMARY: Claimant alleged that the reason for termination on her Form U5 filed b

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00227 Gustavo Manuel Vasquez and Magaly Eliza Vasquez (Claimants) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, McLean, VA. For Respondent appeared Tracey Salmon Smith, Esq.. UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 9, 2009 CASE SUMMARY: Claimants asserted the following cause of action: conse

Award Data Award: $14,851.52 Interest: at the rate of 5% per annum from August 4, 2008 to date of payment Costs: $525.00 Costs: (Collection Fees) $.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of $14,851.52. 2) Respondent is liable for and shall pay to Claimant Interest at the rate of 5% p

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hector L. Huertas (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-00484 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hector L. Huertas, hereinafter referred to as "Claimant" appeared pro se. Respondent TD Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq., T

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01804 A.G. Edwards, a division of Wachovia Securities, LLC (Claimant) vs. Hobert K. Sanderson, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq., Renan Sugannan, P.C Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Customer DATE FILED: April 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: default of t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00121 Lois J. Hughes (Claimant) vs. Brian Wall and Darrin DeBok (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kansas City, MO. For Respondents appeared Deirdre C. Wolf, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Persons DATE FILED: January 5, 2009 CASE SUMMARY: Claimant alleged that Respondents failed to follow her instructions to liquidate

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00463 Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Robert M. Cotter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Erin E. Mac Avoy, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. For Respondent appeared David L. Ward, Esq., Michaels, Ward and Rabinovitz. LLP, Boston, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED; January 29, 2009 CASE SUMMARY: Claim

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas Michael Keyes vs. Case Number: 09-00066 IHearing Site: Detroit, Michigan Name of Respondent UBS Financial Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Douglas Michael Keyes ("Claimant" or "Keyes") appeared pro se. UBS Financial Services, Inc. ("Respondent" or "UBS") was represented by John D.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02820 Wedbush Morgan Securities, Inc. Respondent Hearing Site: Los Angeles, Califomia Robert A. Whidden. II Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wedbush Morgan Securities, Inc. hereinafter referred to as "Claimanl": Charles LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angeles, California

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Michael Caprioni (Respondent) Case Number: 08-00849 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Thomas A. Volz. Esq., and Ronald P. Kane. Esq.. Kane & Fis