AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Services, Inc. vs. Name of Respondent Mark Essenfeld Case Number: 11-00660 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Claimant") was represented by Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number: 10-05101 Hearing Site: Houston, Texas Name of Respondent Edward Lawrence NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant" or "UBS") was represented by Brian S. Hormozi, Esq., Schuyler, Roche & Crisham, PC, Chicago, Illinoi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Theodore M. Krizman, by its Co-Executors, James F. Krizman and Joseph M. Krizman vs. Name of Respondent CFD Investments, Inc. Case Number: 10-04649 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member The case proceeded under the Optional All Public Panel rule/ Majority Public Panel REPRES

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Claimant Wells Fargo Advisors, LLC vs. Respondent Derek L. Miller Case Number: 10-05198 Hearing Site: San Diego, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant" or "WFA": Mitchell J. Albert. Esq., Albert & Will, LLP, Torrance, C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. Case Number: 11-02429 vs. Respondent Robert John Langley Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Angelina E. Chew, Esq., Palmer, Lombardi & Donohue LLP, Los Ang

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant UBS Financial Services Inc. Case Number: 10-02045 vs. Respondent Gregory J. Hilliard Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant UBS Financial Services Inc.: Michael W. Starr, Esq., Riker Danzig Scherer Hyland Perretti, Morristown, New Jersey. Respondent Gregor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant The Circle Trust UAD, Joan Lane TTEE Case Number: 10-03471 vs. Respondents Donna Marie Leone Neuberger Berman LLC Laura Joy Sloate Sloate, Weisman, Murray & Company, Inc. SWM Securities, Inc. Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant The Ci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Michael Weiss Case Number: 11-01164 vs. Respondents Nationwide Planning Associates Inc. Keith Joseph Steidle Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person The case proceeded under the Majority Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Claimant Michael Weiss, herei

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Orval L. Beckmon vs. Names of Respondents TD Ameritrade, Inc., and TD Ameritrade Clearing, Inc. Case Number: 10-05785 Hearing Site: Wichita, Kansas NATURE OF THE DISPUTE Customer vs. Members The case proceeded under the Optional All Public Panel rule/All Public Panel REPRESENTATION OF PARTIES Orval L. Beckmon ("Claimant") was r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Keegan & Company, Inc. Case Number: 10-01925 vs. Respondent John E. Wilfong Hearing Site: Memphis, Tennessee Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": William G. Whitman, Esq. and John Golwen, Esq., Bass, Berry & Sims PLC,