Award FINRA Dispute Resolution In the Matter of the Arbitretion Between: Anthony O. Brown (Claimant) vs. UBS Flnandals Services. Inc.. UBS Wealth Management U.S.. UBS Altemative Investmente U.S. Group, and Daniel Livingstone (Respondente) Case Number: 08-04698 Hearing Site: New York. New Yoric Nature of the Dispute: Customer vs. Memt)er. Non-Memisere, and Associated Person. REPRESENTATION OF PARTIES Claimant Anthony O. Brown hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Eileen G. Alters and Geoffrey Roy Akers (Clalmante) vs. Citigroup Global Maricete, Inc. and Jonathan R. Elyachar (Respondente) Case Number: 08-04668 Hearing Site: Hartferd, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Clalmante Eileen G. Akere ("Eileen Alcers") and Geoffrey Roy Akere ("Geoffrey Akere"), hereinafter col

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Linda M. Manjarrez (Claimant) vs. Paul E. Hess, Joseph Samuel Deitch, as general Partner of Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Networi(, Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Networi( (Respondente) Case Number 08-04432 Hearing Site: Boston, Massachusette Nature of the Dispute: Customer vs. Associated Persons and Member. REPRES

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06896 Edward M. Gudelinis (Claimant) vs. Aegis Capitel Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Selden. NY. For Respondent appeared Robert J. Eide, Aegis Capital Corp.. New Yoric, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 10,2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of fiduciary duty, unjust enrichment, and gross negl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mon Bok Chu (Claimant) vs. AB Watley Direct, Incorporated (Respondent) Case Numt>er: 09-06046 Hearing Site: New Yoric, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mon Bole Chu hereinafter referred to as "Ciaimanf: Kevin Conway, Esq., Conway & Conway, New Yoric, NY. Respondent AB Watley Direct, Incorporated hereinafter refened to as "Re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05686 Joseph R. and Bemadette M. Rogers (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Bethlehem, PA. For Respondent appeared Edward Walton, Esq., Ameriprise Financial Sen/ices, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 29, 2009 CASE SUMMARY: Claimants asserted the following causes of action: breach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Julie D. Gerowltz (Claimant) vs. Citigroup Global Maricete. Inc., Alan Howard Ulan, and Michael S. Lee (Respondente) Case Number: 09-01757 Hearino Site: New Yori^, New Yoric Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Julie D. Gerowltz ("Claimant"): Charies R. Jacob III. Esq., Miller & Wrubel P.C..NewYoric,NY. Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimanta gfls? Numfr^P 0»^2643 Walter Bel Carol Bell Name of the Respondent Hearing Site: Oriando, Florida Wachovia Securities, LLC Nature of the Dispute: Custoniervs. Memt>er. REPRESENTATION OF PARTIES For Walter Bell and Carol Bell, hereinafter coliectiveiy refenned to as Claimants": Neal J. Blaher, Esq., Law Office of Neal J. Blaher, MalUand. FL

AMvard FINRA Dispute RMolutlon In the Matter of the ArbttFfltlon Between: Name of the Claimant Caae Numlaer. 08-03051 Desa Trading Co., S.A. NamaaofthaRiHffiOTlirrtft HMrinflSlte; Miami, Florida Advanced Trading Seivioes, U-C Southweat Securttlea, Inc. Carios Manuel Garcia Nature of the Dispute: Customer vs. Non-Memt)er, Member and Associated Person. WEPRESEMTATIOM OF PARTJES For Desa Trading Co., S A , hereinaflar referred to as t^laknan

AWARD FINRA Dispute Reeolutlon in the Matter of the Arbitration Between: Name of Claimant Richard W. Johnson vs. Case Number 09-03577 Hearing Site: Minneapoiia, Minnesota Namea of Reaoondenta First Midwest Securities, Inc., Woodstock Financial Group, Inc., and Michael Wittenberg MATURE OFTHE DISPUTE Customer vs. Members and Associated Person REPRESEMTATIOM QF PARTIES Richard W. Johnson ("Claimant^ was represented by Michael S. Mac