Award FINRA Diaputo Reaolutlon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02697 Gerald J. Kazma Revocable Trust Amzak Capital Management, LLC Names off the Resoondents Hearirw Site: Boca Raton. Florida Citigroup Global Maricets, Ina f/k/a Citicorp Investment Services Citigroup Alternative Investments. LLC Nature of the Dispute; Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Gera

AVtfARD FINRA DISPUTE RESOLUTION CASE: 10-00782 El Asset Management, inc. (Claimant) vs. Ched J. Gelb (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Hazlet. NJ. Respondent appeared pro se, Larchmont, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. i

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00561 Kevin G. Duling. an individual (Claimant) vs. Wells Fargo Investments LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lincoln, NE. For Respondent appeared Vanessa M. Hoffman. Esq., Wells Fargo investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 1. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00156 Conrad W. Guerrette (Claimant) vs. Morgan Stanley Smith Barney (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Nashua, NH. For Respondent appeared John Castelly, Esq., Morgan Stanley Smith Bamey, Purchase. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 11. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to timely follow instructions to trans

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06730 Peter Levine (Claimant) vs. TIAA-CREF Individual and Institutional Sen/ices, LLC and Wachovia Securities Inc. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared R. Paul Vance, Esq., Cllne, Cline & Griffin, Flint, Ml. For Respondent TIAA-CREF Individual and institutional Sen/ices, LLC appeared Carranza M. Pryor, Esq., TIAA-CREF Individual and Institutional Services, LLC, Chariotte, NC. For Resp

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Franic Foglia (Claimant) vs. Frank Lawrence Vanore (Respondent) Case Number: 09-00921 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Frank Foglia hereinafter referred to as "Claimant" appeared pro se. Respondent Frank Lawrence Vanore hereinafter referred to as "Respondent": Michael Schwartzberg, Esq., an

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raghavan Sathianathan (Claimant) v. Morgan Stanley DW. Inc. (Respondent) Case Number 03-00802 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Raghavan Sathianathan hereinafter refenBd to as "Claimant" appeared pro se. Respondent Morgan Stanley DW Inc. hereinafter referred to as "Respondent": Tim DiDomenico,

AWARD FINRA DIaputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney vs. Case Number 09-03272 l-iearing Site: Kansaa City, Missouri Name of Respondent / Counter-Claimant John Pemberton NATURE OF THE DISPUTC Member vs. Associated Person REPRESENTATION QF PARTIES Citigroup Gtobal Markete, inc. d/b/a Smith Barney ("ClaimanT or Xitigroup') waa repr

AMENDED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Meredith Sweatland vs. CaseNumt>er 09-00560 Hearing SHe: Columbus, Ohio Name of Respondent / Third-Partv Claimant UBS Financial Services, Inc. vs. Third-Partv Respondent Brad Sweatland MATURE OF THE DISPUTC Customer VS. Member Public Arbitrator Pilot Program/All Public Panel REPRESEMTATIQM OF PARTIES Meredith Sweatland fClaima

stipulated Award FINRA DIapute Resolution In the Matter of the Arbttration Between: Nan^e of ttie Claimant Case Number 09-02079 Banc of America Investment Senn'ces, Inc. Name of the Respondent Hearing Stte: Memphis, Tennessee J. Michael Sciara Nature of the Dispute: Member v. Associated Person. REPRESENTATION QF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Ctaimanf: Diane C. Fischer, Esq., RonaM P. Kane,