Case Number: 08-00791 Hearing Site: St. Louis, Missouri IE DISPUTE Non-Members vs. Non-Member REPRESENTATION OF PARTIES Financial Solutions and Associates, Inc. ("FSA") and Michael G. Grimes ("Grimes"), hereinafter collectively referred to as "Claimants," were represented by Steven W. Koslovsky, Esq., Law Offices of Steve Koslovsky, LLC, Maryland Heights. Missouri. Barrington Capital Management, Inc. ("BCM" or "Respondent") was represented by Ronald M. A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alan K. Meinen, Jane A. Meinen, and The Meinen Family Partnership, Ltd. vs. Case Number: 08-00858 Hearing Site: Houston, Texas Names of Respondents American General Securities Incorporated, Shawn Edward Goheen, Goheen Financial Group, LP, Goheen and Associates, and GGG Holdings, LP NATURE OF THE DISPUTE Customers vs. Member, Non-Members, an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John William Ingels vs. Case Number: 08-00792 Hearing Site: Chicago, Illinois Names of Respondents DWS Scudder Distributors, Inc., Margaret Adams, Deutsche Asset Management, Deutsche Bank AG, Deutsche Bank Trust Company Americas, Deutsche Bank Securities Inc., Deutsche Asset Management, Inc., Deutsche Asset Management Investment Services

Case Number: 08-02414 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, inc. n/k/a Ameriprise Advisor Services, Inc. ("Claimant") was represented by Edward A. Walton, Esq., H&R Block Financial Advisors, Inc. n/k/a Ameriprise Advisor Services, Inc.. Detroit, Michigan and Ronald P. Kane, Esq.. Kane & Fischer, Ltd., Chicago. Illinois. Donald J. Dormody ("Respondent") appe

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04851 Charles J. Lieberman, and Charles Liebennan and Ruth Lieberman, Trustees, ("Claimants") vs. USAA Investment Management Company, ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Charles Liebennan, Los Angeles. CA. For Respondent appeared Janis Reeder. San Antonio, TX. NATURE OF DISPUTE: Customers v. Member DATE FILED: December 18. 2008 CASE SUMMARY; Claimants allege

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00256 John J. Udovich, ("Claimant") vs. T.D. Ameritrade, Inc., ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Port Jefferson, NY. For Respondent appeared James J. Vihstadt. In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 14. 2009 CASE SUMMARY; Claimant alleged that he sustained losses when Respondent contrary to Its agreement l

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Philip Richardson, as Trustee of the Philip Richardson Revocable Trust Kay Richardson, as Trustee of the Philip Richardson Revocable Trust Name of the Respondent Morgan Keegan & Company, Inc. Case Number: 08-01333 Hearina Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Philip Richardson, a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Barbara J. and Robert V. Hinshaw vs. Case Number: 04-05955 Hearing Site: Indianapolis, Indiana Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. and Jack B. Grubman NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Barbara J. and Robert V. Hinshaw ("Claimants") were repr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Brian McDonald vs. Case Number: 08-01204 Hearing Site: Dallas, Texas Name of Respondent / Third-Partv Claimant Regal Securities, Inc. vs. Name of Third-Partv Respondent Robyn L. Reagan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Brian McDonald ("Claimant") was represented by Retta Miller, Esq., Ross Forbes, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IHenry W. Archer (Claimant) vs. TO Ameritrade, Inc. (Respondent) Case Number: 07-03394 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimant Henry Archer hereinafter referred to as "Claimant" appeared pro se. Respondent ID Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq., ID Ameritrade,