Award FiNRA Dteputo Resolution In the Matter of the Art)ltration Between: Name off the Claimante Case Number 08-02173 Laurence Rivkin, individually; Laurence Rivkin as trustee of the LNR Family Tmst dated 8/2/1987 and the Laurence Rivkin IRA Roitover Name of the Resoondente Hearing Site: San Diego, CalHbmia Charies Schwab & Co., inc.; The Charies Schwab Corporation and Charies Schwab Investment Management, Inc. Nature of the Dispute

Award FINRA Dispute RMOiutlon In the Matter of the Art)ltratk>n Between: Nanw of the Claimant Michael A. Pappas Case Number 08-02993 Name of the Respondent Hearing Site: Denver. Colorado Raymond James & Associates, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael A. Pappas hereinafter refenBd to as 'daimanT: Marc F. Colin, Esq., Bmno, Colin. Jewell & Lowe, P.C., Denver. Colorado Responden

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Arthur G. Schmidt Living Tmst, dated May 4, 2000 vs. Names of Respondents Edward D. Jones & Co., L.P. and Patrick Dorcey Case Number: 08-00578 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES The Arthur G. Schmidt Living Trust, dated May 4, 2000 ("Claimant") was repr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stanley A. Gregor (Claimant) vs. Commerce Capital Markets, Inc. (Respondent) Case Number. 08-04657 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stanley A. Gregor hereinafter referred to as "Claimant": Joseph J. Sullivan, Esq., Sheindlin & Sullivan, LLP, Brooklyn, NY. Respondent Commerce Capital M

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01567 Balasubramanian Ganesh and Bhuvaneswari Balasubramanian (Claimants) vs. Bank of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Piano, TX. For Respondent appeared Nikole Crosby, Esq., Fulbright & Jaworski, LLP, Dallas, TX. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 23, 2009 CASE SUMMARY: Claimants asserted the following cause of action: co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew B. Proman (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-03348 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Matthew B. Proman, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., Randy Scott Zelin, P.O., Westbury. NY. Respondent TD Ameritrade. Inc.. hereinafter referred to as

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01914 Wachovia Securities, LLC (Claimant) vs. Kelley Dean (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent appeared pro se, Detroit, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 8. 2009 CASE SUMMARY: Claimant asserted the following cause of action: balance owed pursuant to tenns of employme

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brenda K. Gaidmore and Gerald P. Gaidmore (Claimants) vs. Paul Bedinger, Richard lannacone, and A.G. Edwards & Sons, Inc. (Respondents) Case Number: 07-03322 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants Brenda K. Gaidmore ("Brenda Gaidmore") and Gerald P. Gaidmore ("Gerald Gaidmore

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Wade Contney (Respondent) Case Number: 07-01200 Hearing Site: Providence. Rhode Island Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01859 James R. Uehlein (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Owosso. Ml. For Respondent appeared Adam Kauff, Esq.. Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 31. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates to