Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-00909 Jere Planck Mary Christine Planck Jere W. and Mary C. Planck Family Trust Name of the Respondents Hearing Site: Phoenix, Arizona UBS Financial Servtees Inc. Scott M. Miller Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Jere Planck, Mary Planck, and Jere W. and Jer

Award FiNFtA Dispuls Resolution In the Matter of the Arbitration Between: Name of the Claimante Case Number 09-03504 Mid Coast Builders Supply, Inc. 2 The New Mid-Coast Plan REC The New Mid-Coast Plan BJC PM The Cook Trust dtd 5/3/88 Mid Coast Builders Mid Coast Builders Supply, Inc. 1 The New Mid-Coast Plan BJC Name of the Reaoondente Hearing Site: Los Angetes, CA Morgan Stenley Smith Bamey John Sottile Citigroup Global Maric

Award FINRA Dispute Resolution In the Matter of the Arbibation Between: Name of the Claimant Qase Number. 09-00976 The Sohaili Trust Name of the Respondent Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Sohaili Trust, hereinafter rsfened to as "Claimanf: Masood Sohaili, Los Angeles, Callfomia. Respondent, Charies Schwab & Co., Inc., herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Tartagiione (Claimant) vs. American Capital Partners, LLC (Respondent) Case Number 09-02523 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Tartagiione hereinafter refsmed to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C, New Yoric, NY. Respondent American Capital Partners, LLC h

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04164 Laura Loudamy (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Austin, TX. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to transfer. The cause of action relates to Dell Inc.. common

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05201 Saul Crafton (Claimant) vs. TD Ameritrade Clearing, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jacksonville, FL. For Respondent appeared Catherine Luth, TD Ameritrade Clearing, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unauthorized liquidation of shares in account. The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05484 Citigroup Global Markets, Inc. (Claimant) vs. Jose Rosario (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chad Gottlieb, Esq., Alonso. Andaikar & Kahn, P.C, New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 21. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of contract. Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06378 Gina and Antonio Strazzullo (Claimants) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pembroke Pines, FL. For Respondent appeared Brent J. Burtin, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 4. 2009 CASE SUMMARY: Claimants asserted the fbllowing cause of action: misrepresentation. The cau

AWARD FINFVV DISPUTE RESOLUTION CASE: 09-06192 SagePoint Financial, Inc. (Claimant) vs. Mario Camillo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Noah D. Sorkin, AIG Advisor Group. New York, NY. Respondent appeared pro se. West Falls, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 6, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract and equitable indemnity. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05528 Gary Duane Hicks (Claimant) vs. Pruco Securities, LLC and The Prudential Insurance Company of America (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Columbia City, IN. For Respondents appeared Jeffrey J. Kmocti, Esq., Morgan Lewis & Bocldus LLP, Chicago, IL. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: September 2, 2009 CASE SUMMARY: Claimant asserted the fbllowing c