FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02999 Viktor Kilchyk, ("Claimant") vs. TO Ameritrade, Inc.. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Indianapolis, IN. For Respondent appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 26. 2008 CASE SUMMARY: Claimant alleged negligence for financial keeping; breach of contract agreement by changing in-h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ridge Clearing & Outsourcing Solutions, Inc. f/k/a ADP Clearing & Outsourcing Services, Inc. (Claimant) vs. Arjent Services LLC, Arjent Ltd., and Arjent Limited (Respondents) Case Number: 07-02726 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members and Non-Member. REPRESENTATION OF PARTIES Claimant Ridge Clearing & Outsourcing Solutions, Inc. f/k/a ADP Cl

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Clark Dodge & Co.. Inc. (Claimant) vs. Shawn Vincze (Respondent) Case Number 07-02064 SITUS: New York. New York. NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Clark Dodge & Co., Inc., hereinafter referred to as "Claimant": Randle B. Carpenter, Jr., Esq., Carpenters Law Offices, Larchmont. NY. Respondent Shawn Vincze, hereinafter refen'ed

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lorena J. Nicoll Wilbur W.Nicoll Name of the Respondent Morgan Keegan & Company, inc. Case Number: 08-01601 Hearing Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Memtjer. REPRESENTATION OF PARTIES For Lorena J. Nicoll ("L. Nicoll") and Wilbur W. Nicoll CW. Nicoll"), hereinafter collectively referred to as "Claimants": Andre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01713 Geoffrey C. Church Respondent Hearing Site: \jos Angeles, California James Alexander Counter-Claimant James Alexander Counter-Respondent Geoffrey C. Church Nature of the Dispute: Associated Person vs. Associated Person Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent Geoffrey C. Churc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 08-02376 Richard C. Wolff and Ruth Wolff individually, jointly and on behalf of any IRA or tnjst accounts Name of the Respondent Hearing Site: Orlando. FL Stifel Nicolaus & Company, Inc. as successor to Ryan Becl( & Company, Inc., and in its own right Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01181 Naomi Jean Britton Respondent Hearing Site: Phoenix, Arizona Memli Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Naomi Jean Britton, hereinafter referred to as "Claimant": Burton M. Bentley, Esq., The Bentley Law Finn, P.C, Phoenix, Arizona Respondent, Menl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: James W.Doul«is William C. and Cynthia L. Doukas Kenneth J. and Walterine F. Nilcle Joan A. RockouskI Duane and Shiriey A. Sanders Name of the Respondents: Legacy Financial Services, inc. Legacy Advisory Sen^ices, Inc. Dennis Mariow R. Preston Pitts, Jr. Larry LOvistgaardJi Ann Marie Foley Joseph A. D'Altiiia Case Number 07

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-01099 Donald Demmy Name of the Respondent: Hearing Site: Denver, Colorado' Stifel. Nicolaus & Company, Incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Donald Demmy, hereinafter referred to as "Claimanf: Jeffrey J. Scott, Esq., Scott & Associates. P.C., Greenwood Village, Colorado Respondent

Award FINI^ Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant: Case Number: 08-03537 Bliot L. Burstein Name of the Resoondents: Hearing Site: San Francisco. Califbmla UBS Financial Services Inc. Sharon Louise Ford Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Elliot L. Burstein. hereinafter referred to as "Clalmanf appeared pro se: Santa Cruz. California