Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Daivid M. Driesen (Claimant) vs. RBC Capital iVIari^ets Corporation and Fred Sherrill (Respondents) Case Number: 09-01655 Hearino Site: Rochester, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant David M. Driesen hereinafter referred to as "Claimant" appeared pro se. Respondents RBC Capital Markets Corporation ("RBC"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph R. Quill, individually and as grantor and beneficiary of the Dr. Joseph R. Quiil IRA (Claimants) v. Oppenheimer & Co., Inc. (Respondent) Case Number: 09-02041 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Joseph R. Quill ("Quiir) and Dr. Joseph R. Quill IRA ("Quill IFRA"), hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abraham Soldaner (Claimant) vs. i\4errill Lynch, Pierce, Fenner & Smith Inc. (Respondent) Case Number: 09-01156 Hearino Site: New Yoric, New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Abraham Soldaner hereinafter refened to as "Claimant": Brian Kennedy, Esq.. Law Office of Brian Kennedy, New Yori< . NY. Respondent Merrill Lynch, Pierc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 09^303 Paul J. Lattare Kathleen S. Lahare Names of the Respondents Hearing Site: New Orleans, Louisiana Rot>ert H. McCuilough Edward D. Jones & Co.. L.P. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul J. lahare ("P. Lahare") and Kathleen 8. Lahare ("K. Lahare^, hereinafter co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Cage Number 08-03947 Sturia Terry Canale, Living Trust Name of the Respondent Hearing Site: Tampa. Florida Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sturia Terry Car^iie, Living Trust, hereinafter referred to as "Claimant": Dale Ledbetter, Esq. and Bill Gladden, Esq., Ledbetter & Associate

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clalmant/Counter-Respondent Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network vs. Names of Respondents/Counter-Ciaimants David C. Vorbeck and F. Stephen Dunnuck Case Number 08-04072 Hearing Sfte: Indianapolis, Indiana Member v. Associated Persons Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network ("CiaimanT or "Com

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01873 David L. Schriger, co-trustee ofthe Residuary Trust #1 Respondent Hearino Site: Los Angeles, Cal'rfomia Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, David L. Schriger, co-tmstee of the Residuary Trust #1, hereinafter referred to as "Claimant": Steve

Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-02766 Citigroup Global Markete, Inc. Respondent Hearing Site: IHouston. Texas James L. Porter Counter-Claimant James L. Porter Counter-Respondent Citigroup Global Maricete. inc. Nature of the Disputes: Member vs. Associated Person, and Associated Person vs. Member REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent, Citigroup G

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00494 Richard Ryan Shipman Respondents Hearing Site: Salt Lake City, Uteh Equitrust Mariceting Sen/ices, LLC Farm Bureau Life insurance Company Farm Bureau Mutual Insurance Company Western Agricultural insurance Company Nature of the Dispute: Associated Person vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant, Richard Ryan Shi

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 09-02994 Mahin Vadi and Cyrus Bahram Solteni Respondent Hearing Site: San Francisco, Califomia TO Ameritrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Cialmante, Mahin Vadi and Cyms Bahram Soitani. hereinafter colledively referred to as "Claimants": Reza Solteni. Davis. California. Respondent, TD Ameritrade, in