Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Eric G. Werner (Respondent) Case Number: 08-04546 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc. ("Claimant") hereinafter referred to as "Claimant": Ronald Kane, Esq., Diane C. Fischer, Esq., and Jin-Ho Chung, Esq., Kane & F

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01045 Doris A. Minck (Claimant) vs. RBC Capital Markets Corporation (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Thomas E. Ciotti, Franklin Lakes, NJ. For Respondent appeared Patrick Howley, Esq., RBC Wealth Management, Florham Park, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 2, 2010 CASE SUMMARY: Claimant alleged a monetary loss resulting from purchase of an investment tha

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00997 Ellen Montney (Claimant) vs. Frank Anthony Sica (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles Wolfe, Naselle, WA. For Respondent appeared Edward Walton, Esq., Ameriprise Financial, Inc., Detroit, Ml. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: March 1,2010 CASE SUMMARY: Claimant alleged that she received no service for the account service fees paid. Claim Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-01189 David F. Wyatt and Nancy A. Wyatt, Community Property Respondents Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, David F. Wyatt and Nancy A. Wyatt, Community Property, hereinafter collectively refer

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02520 Option House, Inc. ("Claimant") v. Crempsh, Inc. and Todd Mulllner ("Respondents") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondents Crempsh, Inc. and Todd Mulllner did not submit Answers to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: July 22, 2008 CASE SUMMARY: Claimant alleged breach of the Customer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00297 Rick and Patricia Howard Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rick and Patricia Howard, hereinafter collectively referred to as "Claimants": James D. Sallah, Esq. and Joshua A. Katz, Esq., Sallah and Cox

AWARB RNRA DISPUTE RESOLUTION CASE: Wells Fargo Advisors, LLC (Claimant) vs. Thomas Vertin (Respondent) Case Number: 10-01236 REPRESENTATION OF PARTIES: For Claimant: Brady J. Hennann, Esq,, Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person PATE FILED: March 15. 2010. CASE SUMMARY: Claimant asserted the following cause of action: breach of Claipromis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joyce Yabkow (Claimant) vs. Citigroup Global Markets, Inc. and William J. Burns (Respondents) Case Number: 09-02318 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joyce Yabkow hereinafter referred to as "Claimant": Michael B. Specht, Esq., Schoeps & Specht, Nanuet, NY. Respondents Citigrou

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02028 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Thomas C. Bridge Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. For Thomas C. Br

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01918 Thomas H. Collins, individually, and Thomas H. Collins IRA Names of the Respondents Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. and Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas H. Collins, individually and Thomas H. Collins I