AWARD FINRA DISPUTE RESOLUTION CASE: 09-04788 John R. Matthews (Claimant) vs. LPL Financial Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thorp, WA. For Respondent appeared James D. Vannah, Esq., LPL Financial Corporation. Boston. MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow Instructions to liquidate and transf

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04892 Xiqiang Li ai\da Alec Li (Claimant) vs. Pali Capital, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Angelo D. Tartaro, Esq., Rogers & Tartaro, LLP. Ridgefield. CT. For Respondent appeared Mitchell Baruchowitz, Esq.. Pali Capital. Inc., New York. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: August 20, 2009 CASE SUMMARY; Claimant asserted the following causes of action: br

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jill Eileen Clark (Claimant) v. Chase Investment Services Corp. (Respondent) Case Number: 09-03520 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Memt>er. REPRESENTATION OF PARTIES Claimant Jill Eileen Clark hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Respondent": Fr

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04040 Susan Ryan (Claimant) vs. Angela Gray. Angela Lenehan, and Fidelity Brokerage Services, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Needham, MA. For Respondents appeared Diane M. Brown, Fidelity Brokerage Services LLC, Boston. MA. NATURE OF DISPUTE. Customer v. Associated Persons and Member DATE FILED: July 7. 2009 CASE SUMMARY: Claimant alleged that Respondents failed to fo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04337 Jorge A. Perez and MaryEllen Zondorak-Perez (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fort Lauderdale, FL. For Respondent appeared Diane M. Brown. Esq., Fidelity Brokerage Services LLC, New York, NY. NATURE OF DISPUTE: Customers v. Member DATEFILED: July 16. 2009 CASE SUMMARY: Claimants asserted the following causes of action: ne

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Har Nebo Cemetery LP LLC, Richard Levy. General Partner (Claimant) vs. Merrill Lynch Trust Company. FSB, Gershon W. Trimpol, and Jason C. Bridegum (Respondents) Case Number: 09-00288 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Non-Members and Associated Person REPRESENTATION OF PARTIES Claimant Har Nebo Cemetery LP LLC. Richard Levy. General Partner,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jatin Suryawanshi, Partha Sarkar, and Sanjay Girdhar (Claimants) vs. UBS AG and UBS Securities LLC (Respondents) Case Number: 09-02568 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimants Jatin Suryawanshi ("Suryawanshi"), Partha Sarkar ("Sarkar"), and Sanjay Girdhar ("Girdhar"), hereinafter col

AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of Claimant Albert V. LaCava, Jr. vs. Names of Respondents UBS Financial Services, Inc., Bruce Dyer, and John T. Egan and Name of Counter-Claimant UBS Financial Services, Inc. vs. Name of Counter-Respondent Albert V. LaCava, Jr. Case Number 08-04976 Hearing Site: Cleveland, Ohio Associated Person vs. Member and Associated Persons Albert V. L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant LaVeme Van De Wettering vs. Names of Respondents Stifel, NIcolaus & Co., Inc. and Ronald L. Wruck Case Number: 09-00785 Hearing Site: Milwaukee, Wisconsin MATURE OF THg DISPUTE Customer vs. Member and Associated Person Laveme Van De Wettering ("Claimant") was represented t>y Mark Sanders, Esq. and Sean M. Sweeney. Esq., Hailing & Cayo, S.C, Milwa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 09-01306 Theodore G.M. Jung Name of the Respondent: Hearing Site: Honolulu, Hawaii Citigroup Global Maricete, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Theodore G.M. Jung hereinafter refenred to as "Claimant": Wray H. Kondo, Esq., Watenabe Ing, LLP, Honolulu. Hawaii. Respondent Citigr