Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01873 David L. Schriger, co-trustee ofthe Residuary Trust #1 Respondent Hearino Site: Los Angeles, Cal'rfomia Merrill Lynch, Pierce, Fenner & Smith incorporated Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, David L. Schriger, co-tmstee of the Residuary Trust #1, hereinafter referred to as "Claimant": Steve

Award FINI^ Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 08-02766 Citigroup Global Markete, Inc. Respondent Hearing Site: IHouston. Texas James L. Porter Counter-Claimant James L. Porter Counter-Respondent Citigroup Global Maricete. inc. Nature of the Disputes: Member vs. Associated Person, and Associated Person vs. Member REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent, Citigroup G

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00494 Richard Ryan Shipman Respondents Hearing Site: Salt Lake City, Uteh Equitrust Mariceting Sen/ices, LLC Farm Bureau Life insurance Company Farm Bureau Mutual Insurance Company Western Agricultural insurance Company Nature of the Dispute: Associated Person vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant, Richard Ryan Shi

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimants Case Number: 09-02994 Mahin Vadi and Cyrus Bahram Solteni Respondent Hearing Site: San Francisco, Califomia TO Ameritrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Cialmante, Mahin Vadi and Cyms Bahram Soitani. hereinafter colledively referred to as "Claimants": Reza Solteni. Davis. California. Respondent, TD Ameritrade, in

Award FINRA DIaputo Resolution In tiie IMatter of the Ari3itration Between: Name of the Claimant Case Number 09-03869 Lorraine T. Barchinger Name of the Respondente Hearing Site: Phoenix, Arizona B. C. Zlegler and Company John Joseph Foitz WilltemReilteyHerf Nature of the Dispute: Customer vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimant, Lonralne T. Barchinger hereinafter referred to as 'ClaimanT: pro se, Sun City,

Awaid FINRA Dtoputi RoMhitlon In the Matter of the Art)itialion Between: Name of the Claimant KenSlris Name of the Resoonderrta: Wachovia Securities, LLC MafkT. Schnekier Randall W.Hunt And; Name of the Counter-Claimant Wachovia Securities, LLC Name of the Counter-Reapondent KenSlris Case Number 0»)2858 Hearing SHa: Los Angeles, Callfbmia Nature of the Disputes: Customer vs. Member and Assodated Persons Member vs. Cust

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 09-04830 Sagepoint Financial Inc. Rest)ondent Hearing Site: Denver, Colorado Charies Lome Davey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Sagepoint Financial Inc., hereinafter refened to as "Claimant" or "Sagepoint": Craig A. Vollano, Esq., Royal Alliance, New Yoric, New Yori(. Respondent, Charies Lo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vincent Pisaturo (Claimant) vs. Janney l\4ontgomery Scott LLC (Respondent) Case Number: 09-03998 Hearino Site: Providence, Rhode island Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Vincent Pisaturo hereinafter referred to as "Claimant": Marcia Pisaturo, Narragansett, Rl. Respondent Janney Montgomery Scott LLC hereinafter referred to as "Responden

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: l^ichael Keleher (Claimant) vs. ING Financial Partners, inc.. Christian U. Wagner, and Richard Vincent Patricic (Respondents) Case Number: 08-02101 Hearing Site: Newari^, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Michael Keleher hereinafter referred to as "Claimant": Saul Roffe, Esq., Stark & Stark.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Colette McDonald (Claimant) v. Samuel A. Ramirez & Co., inc. and Daniel J. Devaney (Respondents) Case Number: 09-00003 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Colette McDonald hereinafter referred to as "Claimant": Adoiph D. Seltzer, Esq.. New York, NY. Respondents Samuel A. Ramire