AWARD FINRA DISPUTE RESOLUTION CASE: 09-03716 Dr. David D. FeuerTTEE David Feuer DDS Profit Sharing Trust & 401K Plan, U/A 7/13/77, Dr. David D. Feuer TTEE David Feuer DDS Profit Sharing Trust & 401K Plan. U/A 7/1/03, David D. Feuer, Individually and as TTEE David D. Feuer Trust U/A 11/29/96 and Susan G. Feuer (Claimants) vs. vFinance investments. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Marc S. Dobin, Esq., LaBovick & LaBovick, P.

Award Data Award: $5,885.00 interest: $0.00 Costs: (Collection Fees) $1,475.00 Costs: $0.00 AWARD: The undersigned arbitrator has decided and detennined 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 $5,885.00. 2) Ail requests for interest are denied. 3) Respondent is liable for and shall pay to Claimant costs in the amount of $1.475.00. 4) A

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Edward C. Napier vs. Case Number: 09-02065 Hearing Site: Dallas, Texas Names of Respondents Chase Investment Services Corp.. and Steve Schulman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward C. Napier ("Claimant") appeared pro se. Chase Investment Services Corp. ("CISC") and Steve Schulman ("

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Melman vs. Case Number: 09-01725 Hearing Site: Minneapolis, Minnesota Name of Respondent Ameriprise Financial Services, inc. I^ATURE OF THE DlgP^TE Customer vs. Member REPRESENTATION QF PARTIES Michael Melman ("Claimant") appeared pro se. Ameriprise Financial Services, Inc. ("Respondent") was represented by Courtney R. Reid, Esq., Ame

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00958 Sandra Siayton (Claimant) vs. Wachovia Securities, LLC. Wachovia Banl^ NA, Tom Greasor, and Evelyn Scarsborough (Respondents) FTEPRESENTATION OF PARTIES: For Claimant appeared Erienne J. Roberts, Esq.. Duquesne University Law School. The Securities Arbitration Practicum. Pittsburgh, PA. For Respondents Wachovia Securities, LLC, Tom Greasor, and Evelyn Scarsborough appeared Deirdre Wolff. Esq.. Wells Fargo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02026 Timothy E. Parl^er (Claimant) vs. Ameriprise Financial Services. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Minneapolis, MN. For Respondent appeared Cathy Gross Springer, Esq., Ameriprise Financial Services, Inc.. Minneapolis, MN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: April 9, 2009 CASE SUMMARY: Claimant alleged that Respondent's failure to register his lic

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02803 iViax International Broiler Dealer Corp. (Claimant) vs. IViouiero Uh Zossou (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gig! Parse, iVIax Intemational Broiler Dealer Corp., New Yorl< , NY. Respondent appeared pro se, Brooi< lyn. NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED". Uay 15, 2009 CASE SUMMARY: Claimant asserted the following causes of action: Intentional misreprese

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03846 Martha Laura Howse Names of the Respondents Hearing Site: Oriando, FL TD Ameritrade. Inc. TD Ameritrade Holding Corporation Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Martha Laura Howee, hereinafter referred to as "Claimant", appeared pro so. At various stages in this case, Claimant w

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-02983 Marc Hanish Respondent Hearing Site: San Francisco, California Fidelity Brolcerage Sen/ices LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Marc Hanish. hereinafter referred to as "Claimant": Marc Hanish, In Pro Se, Monte Sereno, Califbmia. Respondent, Fidelity Broiterage Services LLC, hereinafter refen

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant investment Professionals, inc. vs. Names of Respondents Marie Alien Bratton and Aiana Sue Sanderson Case Number: 09-01912 Hearing Site: Houston, Texas Member vs. Associated Persons REPRESENTATION OF PARTIES investment Professionals, Inc. ("Claimant" or "IPl") v^as represented by Christopher H. Tovar, Esq., investment Professionals, inc., San Antonio,