Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Scileppi (Claimant) vs. UBS Financial Services Inc. (Respondent) Case Number: 10-01563 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Joseph Scileppi ("Claimant") appeared pro se. Respondent UBS Financial Services Inc. ("Respondent"): Anthony J. Borrelli, Esq., Riker Danzig Soberer Hylahd Perrett

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katherine Capewell, William Capewell, Nina Belasco Craig, Rosalie Dalesio, Robert Heck, Dorothy Heck, Elizabeth Navarra, Randall Schell, Maryellen Schell, James Visconti, Dorothy ViscontI, Josephine Liberta, Paul Ortman, Angela Ortman, Steven Kulchinsky, and Shirley Kulchinsky (Claimants) vs. Jeffrey Southard, Ameriprise Financial, and GunnAllen Financial (Respondents) Case Number: 08-0

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00302 Gary Lee Eveatt (Claimant) vs. Shaun P. Verner, Bancwest Investment Services, Inc., Trade A. Sunitsch, and Nationwide Life Insurance Co. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Oroville, CA. For Respondents Shaun P. Verner, Bancwest Investment Services, Inc., and Trade A. Sunitsch appeared Kelly J. Moynihan, Esq., Keesal, Young & Logan, San Francisco, CA. Respondent Nationwide L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chester F. Zoelier vs. Names of Respondents Sterne, Agee & Leach, Inc. and Richard Owen Mitchell, Sr. Case Number: 09-04884 Hearing Site: Louisville, Kentucky MATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Chester F. Zoeiler ("Claimant') was represented by James P. McCrocklin, Esq., Louisville, Kentu

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01374 C. Bruce IVIcCaslin and Loretta McCaslln (Claimants) vs. Edward D. Jones & Co., L.P. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, IVIeridian, ID For Respondents appeared Dennis J. Caprlgllone, Esq., Edward D. Jones & Co., L.P., St. Louis, hAO NATURE OF DISPUTE: Customers vs. Member DATE FILED: March 19, 2010 CASE SUMMARY: Claimants asserted the following cause of action: failure

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leo Greenland (Claimant) vs. J.P. Morgan Securities, Inc. (Respondent) Case Number: 09-03856 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Leo Greenland hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutsch & Lipner, Garden City, NY. J.P. Morgan Securities, Inc., hereinafter referred to as "Respondent": Euge

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maurice C. Kelly (Claimant) vs. Rockwell Global Capital, LLC (Respondent) Case Number: 09-04496 Hearing Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Maurice C. Kelly hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., Law Office of W. Alexander Melbardis, East Setauket, NY. Respondent Rockwell Global Ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Finkelstein (Claimant) vs. UBS Global Asset Management (US), Inc. and UBS Securities LLC (Respondents) Case Number: 08-04888 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Stephen P. Finkelstein hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., Liddle & Robinson, L.L.P, New. York,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-04960 Marc S. Wolff and Wolff Investment Planning, LLC Name of the Respondent Hearing Site: Tampa, Florida Moors & Cabot, Inc. Nature of the Dispute: Associated Person and Non-Member vs. Member. REPRESENTATION OF PARTIES For Marc S. Wolff ("WolfT') and Wolff Investment Planning, LLC ("Wolff Investment"), hereinafter collectively

Award Data Award: $20,727.89 Interest: at the rate of 6% per annum, pursuant to Florida statute, from December 18, 2009 unttl paid Attorneys' Fees: $750.00 Costs: $1,050.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent Is liable for and shall pay to Claimant compensatory damages of $20,727.89. 2) Respondent is liable for an