Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Wade Hudson (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-04403 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric Wade Hudson, hereinafter referred to as "Claimant": William J. Kupinse, Jr., Esq., Goldstein and Peck, P.C., Bridgeport, CT. Respondent Citigroup Global Marke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Mitchell S. Kahn (Respondent) Case Number: 09-05562 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Ellen Sheridan- Cona, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent Mitchell S. Kahn hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04768 UBS Financial Services Inc. (Claimant) vs. Robert Tolstoi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared Brian Reis, Esq., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leonard A. Miller, Roth IRA E*Trade Custodian (Claimant) vs. E*Trade Securities LLC (Respondent) Case Number: 10-03172 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Leonard A. Miller, Roth IRA E*Trade Custodian, hereinafter referred to as "Claimant" appeared pro se. Respondent E*Trade Securities LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward P. Wasserman, Charies I. Wasserman, and Michael Leiand Hensch (Claimants) vs. Advanced Equities, Inc. (Respondent) Case Number: 09-01809 Hearing Site: New York, New York Nature of Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Edward P. Wasserman ("E. Wasserman"), Charies I. Wassserman ("C. Wasserman"), and Michael Leiand Hensch ("Hensch"), hereinafter

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimants Dennis W. Tibbs, IRA, Dennis W. Tibbs, QRP, Patricia A. Tibbs, IRA and Dennis W. Tibbs and Patricia A. Tibbs JT TEN vs. Name of Respondent Charles Schwab & Co., Inc. Case Number: 10-00357 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customers vs. Member Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03809 Richard J. Brownstein (Claimant) vs. U.S. Bancorp Investments, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jerusalem, Israel. For Respondent appeared James R. Ballard, Esq., San Diego, CA and Jill Y. Coen, Esq., Ulmer Berne, LLP, Cleveland, OH. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 26. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Baisa (Claimant) vs. interactive Brokers, LLC (Respondent) Case Number 10-01683 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Baisa. hereinafter refen-ed to as "Claimant": Brian J. Neville, Esq., Lax & Neville, LLP, New York, NY. Respondent interactive Brokers, LLC, hereinafter referred to as "Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph G. Bardzilowski (Claimant) vs. Wachovia Securities f/k/a A.G. Edwards & Sons, Inc., Harry L. Sze, Lawrence Hunter Parsons, and Francis Joseph Buckley, 111 (Respondents) Case Number: 08-03500 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Joseph G. Bardzilowski, hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02881 Steven H. Minar Name of Respondent Hearing Site: Portland, Oregon Charles Schwab & Co., Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Steven H. Minar, hereinafter referred to as "Claimant": Thomas D. Mauriello, Esq., Mauriello Law Firm, APC, San Clemente, California. Respondent, Charles Schwab &