Award FINRA DItputo RMOlirtlon In the Matter of thB Arbitration Between: MflfiM of the Claimant Qw? NMffHW: 09-00755 GeneOaseeHe NameoftheRaapondenta Hearino Site: San Diego, Callfoniia Merrill Lynch, Pierce, Fenner & Smith, Ina, and Robert Michael Schuize Nature of the Diaputa: Customer vs. Member and Associated Person. REPRESEIfTATlOW OF PARTIES Claimant Gene Gassetehereinaftorrefoned to as Xlahnanf: Richard A. Nervlg, Esq. Richard A. N

Award FINRA DIsputo Resolution In the Matter of the Ari!}itration Between: Judith Paricer Zenowich (Claimant) vs. Citigroup Global Maricete Inc. (Respondent) Case Number. 08-00903 Hearing Site: New Yoric, New Yoric Natere of the Dispute: Asscx;iated Person vs. Member. REPRESENTATION OF PARTIES Claimant Judith Parker Zenowich hereinafter retemed to as "CiaimantT: Peari Zuchlewski. Esq., Kraus & ZuchlewskI LLP, New Yoric, NY. Respondent Citigroup G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Dalisa (Claimant) vs. Ariene Quarante and Wachovia Securities, LLC f/k/a Prudential Securities Incorporated (Respondente) Case Number: 09-05655 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Customer vs. Customer and Memt>er REPRESENTATION OF PARTIES Claimant Jean Dalisa hereinafter refened to as "Claimant": Paul T. Vink, Esq., Paul T. Vink, PC, Brewster, MA.

Award FINRA Dteputo Reeolutton In ttie Matter of ttie Ariattration Between: Namasflf the Cteimante CflW NWllWC 09-00g74 Hantet Gate, as Trustee oftheHaniettGatoTnjst Inring Hante, as Tmstee of ttie Intog Hante Tnjst Name of ttie flesDondent Haarino Stte: Boca Raton. Florida Davreon James Securities, Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PAHTIES For Harriet Gale, as Tnistee of the Hantett Gate Tois

Award RNRA Dtopute Reeolution In ttie Matter of the Arbttration Between: Nama of ttia Claimant CflW NtimlWH 07-02774 M. Eugente Jones Names of ttie Respondente Hearing Site: Atiante, Georgta WUilm Hudson Derinls Cavender Natere of the Dispute: Customer vs. Assodatsd Person. REPRESENTATION OF PARTIES M. Eugente Jones, hereinafter refened to as 'Cteimant," appeared pro se until the evidenttary heering. At the evidentiary hearing. Claimant w

Award FINRA Dtoputo Resolution In ttie Matter of the Art)itration Between: Mama of ttie Cteimant Case Number 0&^3036 Wachovte Securitiee, LLC Name of ttw Respondent Hearing Site: Ortando, Ftorida John Pascate Nature of the Dispute: Membervs. Associated Person. REPRESENTATION OF PARTIES For Cteimant Wachovia Securities, LLC. hereinafter referred to as "CteimanT: Gregory Tendrich, P.A, Gregory S. Tendrich, Esq., Boca Raton, Florida. Respond

Award RNRA Dteputo Resolution in the Matter of the Arisitration Between: Names of the Ctelmanb Case Number 08-02B33 O. Stanley Thornton Franlde F. Thomton Nama of tha Respondent Hwting SB?; Attenta, Georgia Morgan Keegan and Company, inc. Natere of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For O. Stenlay Thomton and Frankie F. Thomton, hereinafter collectively referred to as "Claimante'': Pratt H. Davis, Esq., Page Perry

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimante Gaedeke Hotoings, Ltd., Gaedeke Holdings II, Ltd., and Gaedeke Holdings III, Ltd. vs. Case Number: 08-02695 Hearing Site: Dallas, Texas Names of Respondents Stifel, Nicolaus and Company, Inc. and Century Securities Associates, Inc. Customers vs. Members REPRESENTATION OF PARTIES Gaedeke Holdings, Ltd. ("Gaedeke"), Gaedeke Holdings II, Ltd.

AWARD FINRA Dispute Resolution In the Matter of the Artitration Between: Name of Claimant Wanda L. Fraley vs. Name of Respondent Chase Investment Services Corp. Case Number. 09-03575 Hearing Site: Indianapolis, Indiana MATURE OF-rngPISPUTg Customer vs. Member REPRESENTA-nON OF PARTIES Wanda L. Fraley ('Claimant") was represented by Robert Nast, Louisville, Kentuclcy. Chase Investment Services Corp. ("RespondenT) was represented by Eli

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-05059 Doris Benson Name of the Respondent Hearing Site: PhoenK, Arizona Fidelity Brokerage Services LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Doris Benson, hereinafter raferrBd to as "Claimanr: Pro se, Tucson, Arizona. Respondent, Fidelity Brokerage Sen/ices LLC, hereinafter referred to as "Resp