Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Jennifer A. Cross Case Number: 10-02267 vs. Respondent UBS Financial Sen/ices Inc. Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Jennifer A. Cross, hereinafter referred to as "Claimant": Benjamin Lapin, Esq., Stock Market Recovery Consuitante Inc., Brooklyn, NY. For UBS Financial

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Leroy Hayes, Jr. vs. Name of Respondent Questar Capital Corporation Case Number: 10-03903 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Leroy Hayes, Jr. ("Claimant") was represented by Damon L. Ward, Esq., Ward Law Group, Minneapolis, Minnesota until August 5,2011, when a

STIPULATED AWARD FINFIA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Services, Inc. vs. Name of Respondent Antonio Jefferson Case Number: 10-05201 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, inc. ("Claimant") was represented by Edward Walton, Esq., Ameriprise Financial, In

stipulated Award FINF^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Ameriprise Financial Services, inc. vs. Respondent Blake Bancroft Richards Case Number: 11-01340 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person Ameriprise Financial Services, Inc., hereinafter refered to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Blake Bancroft Richa

AMENDED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mel H. Schonhorst vs. Case Number: 10-03097 Hearing Site: Dallas, Texas Names of Respondents RBC Capital Markets Corporation f/k/a RBC Dain Rauscher, Inc. and William Gumbert NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Mel H. Schonhorst ("Claimant") was represented by R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05371 Judith A. Schmitt vs. Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member The case proceeded under ttie Optional All Public Panel rule/All Public Panel REPRESENTATION OF PARTIES Claimant Judith A. Schmitt, hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Cari J. Kipper Case Number: 09-04306 vs. Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. Hearing Site: Albany, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Cari J. Kipper, hereinafter referred to as "Claimant": David Marek, Esq., Liddle & Robinson, LLP, New York, NY. Respondent Merri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Gregory Gaertner as Executor of the Estate of Percival H. E. Leach Case Number: 10-04783 vs. Respondents E. Paul Du Pont III Morgan Stanley Smith Barney Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person The case proceeded under the Optional All Public Panel rule/Majority Public Panel REPRESEN

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05600 Peter Jay Goldman vs. Respondents Hearing Site: New York, New York UBS Bank USA UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Peter Jay Goldman, hereinafter referred to as "Claimant": Daniel Felber, Esq., The Law Offices of Daniel F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Nanik Panjwani Case Number: 10-00922 vs. Respondents PNC Investments Scott T. Wetherby Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Nanik Panjwani, hereinafter referred to as "Claimant": James C. Jones, Esq., James C. Jones, P.C., New York, NY. Res