Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Jay Knapp Reva Knapp The Knapp Living Trust Respondent UBS Financial Services Inc. Consolidated with: Claimant James Harold Stark Respondents Jay Knapp Reva Knapp The Knapp Living Trust Master Case Number: 10-01670 Hearing Site: Phoenix, Arizona Subordinate Case Number: 10-03966 Hearing Site: Phoenix, Arizona Natur

Award FINRA Dispute Resolution In the Matters of the Arbitration Between: Claimant Third H. Andresen Case Number: 10-03477 vs. Respondents The Investment Center, Inc. Jon Nguyen Elayda Hearing Site: Seattle, Washington Counter-Claimant The Investment Center, Inc. vs. Counter-Respondent Third H. Andresen Cross-Claimant The Investment Center, Inc. vs. Cross-Respondent John Nguyen Elayda Nature

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Claire F. Cicalese Case Number: 10-04661 vs. Respondents Alternative Wealth Strategies, Inc. James Carl Gaul Gregory Thomas Kwasnicki Jeffrey Rachlin Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Claire F. Cicalese, hereinafter referred to as "Clai

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Barclays Capital Inc. vs. Case Number: 10-03544 Respondent Credit Suisse Securities, (USA) LLC Hearing Site: New York, New York Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES Claimant Barclays Capital Inc., hereinafter referred to as "Claimant": William B. Fleming, Esq., Gage Spencer & Fleming LLP, New York, NY. Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patsy L. Potter vs. Case Number: 09-06930 Hearing Site: Kansas City, Missouri Names of Respondents Mutual Service Corporation, SagePoint Financial, Inc., Brent Allen McCune, and Randall Scott Coble NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Patsy L. Potter ("Claimant") was repres

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Amerlprise Financial Services, Inc. vs. Name of Respondent Terrence Devlin Case Number: 11-02474 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Claimant" or "Ameriprise") was represented by Edward A. Walton, Esq., Ameriprise

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00549 Wachovia Securities, LLC Respondents Hearing Site: San Francisco, California Kurt James IHaiverstadt Sean Anthony Lehmann Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC hereinafter referred to as "Wachovia" or "Claimant": Timothy N. Will, Esq., Albert &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Daniel Scott Robertson Case Number: 11-01593 vs. Respondent Capwest Securities, Inc. Hearing Site: Richmond, Virginia Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Daniel Scott Robertson, hereinafter referred to as "Claimant," appeared pro se. Respondent Capwest Securities, Inc., hereinafter referre

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Raymond James & Associates, Inc. vs. Respondent Matthew McGrath Case Number: 10-05607 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Kelli Bullington, Assistant Corporate Counsel, Raymond James & Associa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Morgan Keegan & Company, Inc. Case Number: 10-03737 vs. Respondent Jeffrey S. Seltzer Third Partv Respondent Ken Cerruto Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person; Associated Person vs. Associated Person REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "