AWARD FINRA DISPUTE RESOLUTION CASE: 11-01650 George E. Shull, an individual (Clainriant) vs. Ameriprise Financial Sen/ices, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Jose, CA. For Respondent appeared Chad Weaver, Esq., Edgerton & Weaver, LLP, IHermosa Beach, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 19, 2011 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability, b

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Ingeborg B. Eaves vs. Respondent Wachovia Securities, LLC Case Number: 09-05944 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Ingeborg B. Eaves, hereinafter referred to as "Claimant": Richard B. Fosher, Esq., Cakes & Fosher, LLC, St. Louis, MO. Respondent Wachovia Securities, LLC, herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-00051 vFinance Investments, Inc. vs. Respondent Hearing Site: Boca Raton, Florida Automated Trading Desk Financial Service, LLC Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES For vFinance Investments, Inc.. hereinafter referred to as "Claimant": Mark Roth, Esq., Golbeck Roth, PLLC, Seattle, WA, until September 30, 2011. Thereaf

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services Inc. vs. Stuart K. Kimball Case Number: 10-05504 SITUS: Columbia, South Carolina NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Michael T. Roche, Esq., Schuyler Roche & Crisham, P.C., Chicago. Illinois. Stuart K. Kimball, hereinafter referred to as "Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04904 Caleb L. Batten & Kathryn R. Batten, Trustees of the Caleb L. Batten Trust u/a/d 04/05/1990 vs. Respondents Hearing Site: Tampa, Florida Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Mitchell A. Halperin Nature of the Dispute: Customer vs. Member and Associated Person The case proceeded under the Optional All Public Panel rule

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Stifel, Nicolaus & Co., Inc. vs. Respondent Douglas Black Case Number: 10-04580 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES I Claimant Stifel, Nicolaus & Co., Inc., hereinafter referred to as "Claimant": Jeffrey C. Primiano, Deputy General Counsel, Stifel, Nicolaus & Co., Inc., Florha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04795 Leiby Jeremias Hearing Site: Los Angeles, California Respondents Michael John Ferraro Frank Saez Frederick Todd Nature of the Dispute: Associated Person vs. Associated Person and Non-Members REPRESENTATION OF PARTIES Claimant, Leiby Jeremias, hereinafter referred to as "Claimant': Pro Se, Los Angeles, California. Respondent, Mich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants/Counter-Respondents Case Number: 10-03270 David C. Swedeison and Sandra Gottlieb, trustees of the Swedeison & Gottlieb Cash Balance Plan Trust Respondents/Counter-Claimants Hearing Site: Los Angeles, California RBC Dain Rauscher n/k/a RBC Capital Markets, LLC Mitchell Ross Pindus Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATIO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Royce G. Thornton Willie Pearl Thornton Case Number: 10-02994 vs. Respondent Morgan Stanley Smith Barney, LLC Hearing Site: Birmingham, Alabama Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Royce G. Thornton, and Willie Pearl Thornton, hereinafter collectively referred to as "Claimants": Royce G. Thornton, Rogersvill

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01051 James D. Adkins Stephanie L. Adklns Respondents Hearing Site: Orlando, FL Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Ernest Watson Jeff Tucker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James D. Adkins and Stephanie L. Adkins, hereinafter collectively referred to as