AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Dolores J. Keener vs. Case Number: 10-01465 Hearing Site: Charleston, West Virginia Names of Respondents/Counter-Claimant Geneos Wealth Management Inc., David M. Arthur. and Investors Financial Advisors, Inc. NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Member REPRESENTATION QF PARTIES Dolores J. Ke

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Steven E. Wdowka, Individually and on behalf of his IRAs vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 10-01198 Hearing Site: Indianapolis. Indiana NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel Steven E. Wdowka, Individually and on behalf of his IRAs ("Claimant") was r

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary E. Wright Trust, Mary E. Wright, TTEE vs. Case Number: 09-06207 Hearing Site: Chicago, Illinois Names of Respondents Credit Suisse First Boston LLC, William Gregory Sullivan, and Christopher W. Gardner NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Mary E. Wright Trust, Mary E. W

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02585 Gerald E. Patera Name of the Respondent Hearing Site: Raleigh, North Carolina Seaboard Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gerald E. Patera, hereinafter referred to as "Claimant": J. Anthony Penry, Esq., Penry Reimann, PLLC, Raleigh, North Carolina. For Seaboard Securiti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00040 Barry Burgess Respondent Hearing Site: San Francisco, California Morgan Stanley & Co. incorporated Nature of Dispute: Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant, Barry Burgess, hereinafter referred to as "Claimant": Frederick C. Roesti, Esq., Law Office of Frederick C. Roesti,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05914 James M. Biggins Eygeniya Kalashnikova-Biggins Name of the Respondent IHearinq Site: Washington. D.C. Phillip Wayne Conley Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES James M. Biggins and Eygeniya Kalashnikova-Biggins, hereinafter collectively referred to as "Claimants," appeared pro se

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06874 Sakurako Sugihara (Claimant) vs. Machiko Okamoto and Paulson Investment Company Inc. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Romaine Gardner, Esq., Lincoln Square Legal Services, New York, NY. For Respondent Machiko Okamoto ("Okamoto") appeared Steven Martin, New York, NY. For Respondent Paulson Investment Company, Inc. ("Paulson") appeared Richard J. Babnick, Esq., Sichenzia Ro

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02673 John J. Daversa (Claimant) vs. Ken Cole and Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Mobile, AL. For Respondents appeared Melinda L. Peevy, Esq., and Julie Wilson Portera, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: June 4, 2010 CASE SUMMARY: Claimant ass

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05012 Wells Fargo Advisors, LLC (Claimant) vs. Teddy R. Ezzell, III (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 3, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of Retention Award Agree

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04312 SagePoint Financial, Inc. (Claimant) vs. Keith A. Golden (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Louis D. Tambaro, Esq., Marks & Klein, LLP, Red Bank, NJ. Respondent appeared pro se, West Palm Beach, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, breach of promissor