Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03722 UBS Financial Services Inc. vs. Respondent Hearing Site: Tampa, Florida Paul E. Schobert Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For UBS Financial Services Inc., hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. Paul E. Schobert, h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04444 Morgan Stanley Smith Barney Respondent Hearing Site: Raleigh, North Carolina Elliott Bruce Mosl< owitz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley Smith Barney, hereinafter referred to as "Claimant": Todd Ratner, Esq., Todd Ratner PLC, Richmond, Virginia. For Elliott Bruce Moskowitz, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-03511 Christopher M. Allen Angela Allen Angela Allen IRA Christopher M. Allen IRA Respondent Hearing Site: Tampa, Florida thinkorswim by TD Ameritrade Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Christopher M. Allen, Angela Allen, Angela Allen IFIA, and Christopher M. Allen IRA, hereinafter collect

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-04690 Margaret R. Marshall William P. Marshall Respondents Hearing Site: Birmingham, Alabama UBS Financial Services Inc. Kyle S. Luthy Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret R. Marshall and William P. Marshall, hereinafter referred to as "Claimants," appeared pro se. For UBS Fi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Claimants Case Number; 10-01725 James D. Brogden, Trustee of the Jim Brogden Revocable Living Trust Frances L. Brogden, Trustee of the Lynn Brogden Revocable Living Trust Respondents Hearing Site; Portland, Oregon Merrill Lynch, Pierce, Fenner & Smith Incorporated Randall Wayne Slender Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Claimant Case Number: 11-01384 Margot Mandei Respondent Hearing Site: Los Angeles, California Morgan Peabody, Inc. Kumbirai Vincent Mtunga Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Margot Mandei, hereinafter referred to as "Claimant": Colleen Marmor, Esq., Law Office of Colleen Marmor, Woodland Hills, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05793 Cari Cosio Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Financial Services Inc. Rafael A. Calleja Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cari Cosio, hereinafter referred to as "Claimant": Randall C. Place, Esq. and Sara E. Hanley, Esq., Th

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giaimant Jeremy G. Han/ey Case Number: 10-02200 vs. Respondents Karen L. McKlnley Merrill Lynch Life Insurance Co. Merrill Lynch Pierce Fenner & Smith Inc. Hearing Site: Richmond, Virginia Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant Jeremy G. Harvey, hereinafter referred to as "Claimant": Ste

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01508 Morgan Stanley Smith Barney (Claimant) vs. William McGuane (Respondent) REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman, Esq.. Law Offices of Renan I. Sugarman, Chicago, Illinois. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 8. 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Relief Requ

AWARD FINF^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gerald J. Bamberger and Maxine Bamberger, Individually and as Trustees of their respective Revocable Living Trusts, Individual Retirement Accounts, and IRS-SEP Accounts vs. Case Number: 09-06525 Hearing Site: St. Louis, Missouri Name of Respondent UBS Financial Sen/ices, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTI