Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-03335 Don Paul Colcolough and Anna Memmo-Colcolough Names of the Respondents Hearing Site: Washington. P.C. UBS Financial Services, Inc. Stephens, Inc. John J. Colcolough, 111 Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Don Paul Colcolough and Anna Memmo-Colcolough, hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02899 Gary G. Harris Names of the Respondents Hearing Site: Columbia, South Carolina Wachovia Securities, LLC Jeremy Bishop Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gary G. Harris, hereinafter referred to as "Claimant": David C. Alford, Esq., Spartanburg, South Carolina, until

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charlene Haddock vs. Case Number: 09-05756 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Wachovia Securities, LLC, Prudential Securities, Inc., and Stacey Haddock NATURE OF THE DISPUTE Customer vs. Member, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Charlene Haddock ("Charlene Haddock" or "Claimant") was re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James R. Wikert vs. Case Number: 09-01731 Hearing Site: Dallas, Texas Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James R. Wikert ("Claimanr) was represented by C. Bruce Willis, II, Esq., Dallas, Texas, as of on or about September 22,2010. Prior to that date, Claimant was

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Baltis (Claimant) vs. Morgan Stanley Smith Barney, LLC, as a successor in name, interest and title to Morgan Stanley & Co., Incorporated and Citigroup Global Markets, Inc., and George C. Danes (Respondents) Case Number: 09-05638 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Baltis h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Eric G. Werner (Respondent) Case Number: 08-04546 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc. ("Claimant") hereinafter referred to as "Claimant": Ronald Kane, Esq., Diane C. Fischer, Esq., and Jin-Ho Chung, Esq., Kane & F

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01045 Doris A. Minck (Claimant) vs. RBC Capital Markets Corporation (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas E. Ciotti, Franklin Lakes, NJ. For Respondent appeared Patrick Howley, Esq., RBC Wealth Management, Florham Park, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 2, 2010 CASE SUMMARY: Claimant alleged a monetary loss resulting from purchase of an investment tha

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00997 Ellen Montney (Claimant) vs. Frank Anthony Sica (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles Wolfe, Naselle, WA. For Respondent appeared Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Ml. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: March 1,2010 CASE SUMMARY: Claimant alleged that she received no service for the account service fees paid. Claim Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01189 David F. Wyatt and Nancy A. Wyatt, Community Property Respondents Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, David F. Wyatt and Nancy A. Wyatt, Community Property, hereinafter collectively refer

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02520 Option House, Inc. ("Claimant") v. Crempsh, Inc. and Todd Mulllner ("Respondents") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondents Crempsh, Inc. and Todd Mulllner did not submit Answers to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: July 22, 2008 CASE SUMMARY: Claimant alleged breach of the Customer