FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04206 Marilyn Lea Brown ("Claimant") vs. UBS Financial Sen/ices. Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Mableton, GA. For Respondent appeared Randi Perry Spallina. Esq., UBS Financial Services. Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 12.2008 CASE SUMMARY: Claimant alleged that Respondent unsuitably recommend

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00367 Alan Gelband & Co. Defined Contribution Pension Plan & Trust ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Alan Gelband, New York, NY. For Respondent TD Ameritrade, Inc., appeared James J. Vihstadt, Esq.. TD Ameritrade. Inc., Omaha, NE. NATURE OF DISPUTE; Customer v. Member DATE FILED: January 22. 2009 CASE SUMMARY: Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00741 Edwin Goldstein ("Claimant") vs. Charles Schwab & Co.. Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Samuel T. Brannan. Esq.. Page Perry, LLC, Atlanta. GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 11, 2009 CASE SUMMARY: Claimant alleged misrepresenta

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christian D. Martin (Claimant) vs. Banc of America Securities LLC. Banc of America Corp., NB l-loldings Corp., and Bank of America Securities Holdings Corp. (Respondents) Case Number: 08-00319 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Christian D. Martin hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter C. Dunne (Claimant) vs. Aura Financial Services. Inc. (Respondent) Case Number: 08-03852 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Peter C. Dunne hereinafter referred to as "Claimant": John E. Lawlor, Esq., MJneola. NY. Respondent Aura Financial Services, Inc.. hereinafter referred to as "Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. flkia Salomon Smith Barney, Inc. (Claimant) vs. Peter C. Dolan (Respondent) Case Number: 08-02086 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carlos Reisen, Jr. vs. Name of Respondent J.J.B. Hilliard, W.L Lyons. LLC Case Number: 08-02881 Hearing Site: Cincinnati, Ohio Associated Person vs. Member Carlos Reisen, Jr. ("Claimant" or "Reisen") was represented by William A. Healy, Esq., Westminster, Maryland. J.J.B. Hilliard, W.L. Lyons, LLC ("Respondent" or "Hilliard Lyons") was represented by

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claim^ Case Number: 08-02539 Banc of America Investment Sen/ices, Inc. Name of the Respondent Hearina Site: Baltimore, Maryland Michael Schuler Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq.. Kane & Fischer, Ltd.. Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00869 D. Henry Blevins Names of the Respondents Hearing Site: Little Rock, Arkansas SAL Financial Services, Inc. d/b/a Sterne Agee Financial Services, Inc. Sterne, Agee & Leach, Inc. Charles R. White Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES D. Henry Blevins, hereinaft

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Stanley & Co. Incorporated vs. Willie J. Brice, Jr. Case Number: 09-00911 SITUS: Boca Raton, Florida NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Morgan Stanley & Co. Incorporated, hereinafter referred to as "Claimant": Alan S. Brodherson, Esq., Law Offices of Alan S. Brodherson, New Yoric, New Yoric. Respondent did not enter an appearance in