Award FINRA Dtepute Resolution In the lAaStor of the Arbitration Between: Cteimante Case Number 09-02054 Brett L. Eliason Varonique Eliason Daydrsam Trading, LLC E. Grant Finch NBFCapitel.LLC Respondent Hearino Site: Salt Lalce City, Uteh TD Ameritrade, Inc. Nature of the Dispute: Customers vs. Memt)er Publto Ari)itrator Pilot Program/All Publto Panel REPRE8EWTATIQW OF PARTIES Cteimante, Brett L. Eliason, Veronique Eliason, Da

Stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Ctelmant Case Number 09-04768 WeHs Fargo Advisors, LLC, f/k/a Wachovte Seourtttes, LLC Name of the Respondent Hearing Site: Coiumbte, South Carolina Clifford K. Cames. Ill Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Wells Fargo Advisors, U.C, f/k/a Wachovte Securities, LLC, herelrurfler refenred to as "Cte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number 09-04186 Gordon Church Kyte Church The Tnist U/W Margaret P. Bamett Name of the Respondent Hearing Site: Attente, Georgia Sanford C. Bemstein & Co., LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gordon Church (*G. Church"), Kyte Church (*K. Church*), and The Tnist U/W Margaret P. Bamett ("BametT),

AWARD FINRA DISPUTE RESOLUTION CASE: CASE NUMBER: 10-00595 AXA Advisors, L.LC. ("Claimant") vs. Michael Volts ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Don R. Boswell, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey. Respondent did not appear. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: February 5, 2010. CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. The cause of action

StIpulatBd Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04361 Arthur Ruiz Jr. Patty Ruiz Names of the Respondents Hearing Site: New Orleans, Louisiana Fidelity Brokerage Services, LLC Fidelity Investments Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Arthur Ruiz Jr. and Patty Ruiz, hereinafter collectively refen^ to as "Claimants," appeared pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bany Goldenberg (Claimant) vs. MarlcetAxess Corporation and Richard McVey (Respondents) Case Number 07-00126 Hearino Site: New Yori^. New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Barry Goldenberg hereinafter referred to as "Claimanr: Gary Trachten, Esq., and Alisa L. Silverstein, Esq.. Kudman Trachten Aloe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Trident Partners, Ltd. (Claimant) v. Francine Ann Lanaia and Alexander Capital, L.P. (Respondents) vs. Brian Schantz, Edward Flynn, and Timothy Flynn (Third Party Respondents) Case Number 08-01194 Hearing Site: New Yori«, New Yoric Nature of the Dispute: Initial Claim: Member v. Associated Person and Member. Third-Party Claim: Associated Person v. Associated Persons. REPRESE

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Edgar B. & Louise M. Baiter (Claimants) vs. Virginia Traver, Mark Renzini, Community Bank & Trust, LPL Financial Corporation, and Comm Financial Services Corp (Respondents) Case Number 09-05512 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Memt)er and Non-Memt>ers REPRESENTATION OF PARTIES Claimants Edgar B. ("E. Baker^) and Ijouise M. Bak

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06571 E. Brent Lundgren (Claimant) vs. William Brown Parle and Mary L. Redell (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, West Fargo, ND. Respondent William Brown Park appeared pro se, Houston, TX. Respondent Mary L. Redell appeared pro se, Houston, TX. NATURE OF DISPUTE: Associated Person v. Associated Persons DATE FILED: November 17, 2009 CASE SUMMARY: Claimant asserted the following ca

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00141 Ameriprise Advisor Services, Inc. (Claimant) vs. George Hovany (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward A. Walton, Esq., Ameriprise Advisor Services, inc., Detroit, Ml. Respondent appeared pro se, Vernon Hills, IL. NATURE OF DISPUTE: l\1ember v. Associated Person DATE FILED: January 11, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory