Award FINRA Dispute Resolution In the Matter of the Arbitration Between: US Ain/vays, Inc. (Claimant) v. Roland Hansalik, Lars Jacobson, George Barclay Perry, and Joseph Arena (Respondents) Case Number: 09-06905 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant US Ain^/ays, Inc., hereinafter referred to as "Claimant": Stephen Davidson, Esq., and Michael J. Baratz, Esq., Steptoe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CIBC World Markets Corp. (Claimant) vs. Juan Antonio Bermudez, Jr. (Respondent) Case Number: 09-05747 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CIBC World Markets Corp., hereinafter referred to as "Claimant": Joseph J. Sullivan III, Esq., Sheindlin & Sullivan, LLP, Brooklyn, NY. Respondent Juan Antoni

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert M. Ragsdale, Individually and as a Beneficiary of an IRA vs. Case Number: 10-01606 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley & Co., Incorporated and Morgan Stanley Smith Barney NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Robert M. Ragsdale, individually and as a Beneficiary of an IRA ("Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04549 UBS Financial Services, Inc. (Claimant) vs. Frank D. Baudille (Respondent) REPRESENTATION OF PARTIES: For Claimant: Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 11, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howard R. Wilkov, M.D. and The Wilkov Family Limited Partnership (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) vs. Jennifer Wilkov (Third-Party Respondent) Case Number: 09-03961 Hearing Site: New York, New York Nature of the Dispute Initial Claim: Customers vs. Member Third-Party Claim: Member vs. Associated Person Public Arbitrator Pilot Program/All P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard K. Lublin as Trustee of the Richard K. Lublin and Jane E. Lublin Revocable Trusts (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Geoffrey H. Karp (Respondents) Case Number: 10-01951 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Richard K. Lublin as Trustee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Walter Sherman (Claimant) vs. Bryn Mawr Securities Corp., Donald D. White, George Bevins, and Patrick McDonnell (Respondents) Case Number: 05-00015 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Walter Sherman, hereinafter referred to as "Claimant": Christopher B. Jones, Esq., Law Offices of C

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05582 United Planners' Financial Services of America, a Limited Partnership (Claimant) vs. Richard J. Philipp (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 13, 2010 CASE SUMMARY: Claimant asserted th

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04827 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Matthew Burnham (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kate S. Arduini, Esq., Rubin, Fortunato & Harbison, P.C., Paoii, PA. Respondent appeared pro se, Akron, OH. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 26. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of co

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-05139 Empire Asset Management Company (Claimant) vs. Nicholas C. Dito (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Anthony G. Mango, Esq., Mango & lacoviello, LLP, New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 11. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissor