AWARD FINRA DISPUTE RESOLUTION CASE: 09-05511 Daniel J. Burbach (Claimant) vs. i\^errill Lynch, Pierce, Fenner & Smith Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thousand Oaks, CA. For Respondent appeared Katharine Forster. Esq.. Munger, Tolies & Olson LLP, Los Angeles, CA. NATURE OF DISPUTE: Associated Person v. IVIember DATE FILED: September 22, 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensa

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05448 George H. Derbyshire, TTEE Surviving Settlors Trust and UW G&E Derbyshire Trust (Claimants) vs.TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared George H. Derbyshire, Henderson, NV. For Respondent appeared Catherine L. Luth, TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customers v. iViember DATE FILED: September 15, 2009 CASE SUMMARY: Claimants allege that Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05245 Tissapeh hiami, an individual (Claimant) vs. Charles Schwab & Co., Inc., a corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. I^ember DATE FILED: September 2, 2009 CASE SUMMARY: Claimant asserted the following causes of action: bre

AWARD FINRA DISPUTE RESOLUUON CASE: 09-05094 Rados Family Limited Partnership (Claimant) vs. Morgan Stanley Smith Barney (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joram Rados. Forest Hills, NY. For Respondent appeared John Castelly, Esq.. Morgan Stanley Smith Bamey, Purchase, NY. NATURE OF DISPUTE: Custonrer v. Member DATE FILED: August 28. 2009 CASE SUMMARY: Claimant asserted the following cause of action: overpayment of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04508 Sheldon L. Schafer (Claimant) vs. Citigroup Global Maricets. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Peoria, IL. For Respondent Citigroup Global Maricete, Inc., appeared Harper Fertig-Robinson, Esq., Morgan Stenley Smith Barney. New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 23. 2009 CASE SUMMARY: Claimant asserted the toilowing cause of action: teilure

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Marie RosenfekJ and Mona Rosenfeld (Claimants) vs. Raymond James & Associates and Norman Nelson (Respondents) Case Number: 09-00448 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marie Rosenfeld and Mona Rosenfeld hereinafter coliectiveiy refenred to as "Claimants': Timothy D. Kasti

Award FINRA Dispute Resolution In the Matter of the Artiitration Between: Douglas Cummins (Claimant) vs. Israel A. Englander & Co., Inc. (Respondent) Case Number: 09-04395 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Douglas Cummins hereinafter referred to as "Claimant": Alan L. Sktover, Esq., Benjamin i.^in. Esq., and Daniel Feiber, Esq.. Skiover, Donath & Feiber, LLC, New

Award FINRA Dispute Resolution in tiie Matter of tiie Arbitration Between: George Galajda (Cialmant) vs. 1^ Global Capital Corp. and Tliomas M. Tette (Respondents) Case Number: 09-00382 Hearing Site: Rochester. NewYort^ Nature of thie Dispute: Customer vs. Memk)er and Associated Person. REPRESENTATION OF PARTIES Claimant George Galajda hereinafter referred to as Claimant": Steven Galajda, North Chili. NY. Resporwierrts 1'* Global Capital Corp. ("

Stipulated Award FINRA Dispute Resolution in the Mattorof the Art)itration Between: Claimant/Counter-ResDondent Case Numiaer 08-04325 Wachovte Securities, l-LC ResDondent/Counter-Clalmant Hearino Site: Los Angeles, CalHomia Scotte Carter Nature of the Disputes: Member vs. Associated Person Associated Person v. Member RgPRESENTATIQM OF PARTIFS Claimant/Counter-Respondent Wachovte Securities, LLC hereinafter referred to es "CteimanT or

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nagai Rajendran (Claimant) vs. Emmett A. Laridn Company. Inc. (Respondent) Case Number: 08-03462 Hearino Site: New Yoric. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Cteimant Nagai Rajendran ("Claimant"): Mitchell Mari«)witz and Benjamin Lapin, Stocic Market Recovery Consuitente, Inc.. Brooklyn. NY. Respondent Emmett A. Larkin Company, Inc. ("R