Award FINRA Dispute Rssohitton In tiie Matter of the ArisitraUon Between: Name of the Claimante Case Number 08-04815 FredFekl Peari Fold Name of the Respondente Hearing Site: Los Angeles. Callfomia UBS Financial Sen/ices, Inc. Alliance Bemstoln Mutual Funds Nature of the Dispute: Customers vs. Member and Non- Member REPRESENTATION OF PARTIES Claimante, Fred Fold ("F. Feld") and Peari Feid (T. Feid") hereinafter collectively referred t

Award FINRA Dispute Resolution In the Matter of the Artntration Between: Name of the Claimants Case Number 08-01361 Michael Bond Margaret Bond Name of the Respondents Hearing Site: Denver. Colorado UBS Financial Services Inc. UBS Securities LLC UBS AG Nature of the Dispute: Customers vs. Memk)ers and Non-Memfc>er REPRESENTATION OF PARTIES Claimants, Michael Bond and Margaret Bond, hereinafter collectively referred to as "Claimants

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04340 Jorge A. Perez (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Lauderdale. FL. For Respondent appeared Diane M. Brown. Fidelity Brokerage Services LLC. Boston MA. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 16. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, misinformation, omissions, and f

Award HNRA Dispute Resolution In the Matter of the Arbitration Between: Name off the aaimants Nick C. Dalley and Rose Marie Dalley Case Number, 08-04519 Name of the Respondent Mutual Securities, Inc. a/k/a Cowles, SakK3l & Company, Inc. and Davkl R. Milter Hearing Site: Los Angeles. CaRfbmla Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Nick C. Dalley ("N. Dalle/) and Rose Marie

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant /Counter-Respondent Citigroup Global Markets. Inc., successor to Leg Mason Wood Walker, Inc. vs. Case Number: 08-04169 Hearing Site: Pittsburgh, Pennsylvania Name of Resoondent/Counter-Claimant Lloyd Laughlin and Name of Third-Partv Claimant Lloyd Laughlin vs. Names of Third-Partv Respondents Kenneth M. Ross and Timothy P. Miller Mem

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Kenneth A. Schwieterman and Holley A. Schwieterman vs. Names of Respondents Charies Schwab & Company, Inc., and Thompson Investment Advisors and Case Number: 08-01764 Hearing Site: Louisville, Kentucky Name of Third-Partv Claimant Charies Schwab & Company, Inc. vs. Name of Third-Partv Respondent Thompson Investment Advisors MATURE O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Ameritrade, Inc. (Claimant) vs. Robert E. Bonds (Respondent) Case Number: 09-04106 Hearina Site: Boston. Massachusetts Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant TD Ameritrade, Inc., hereinafter referred to as "Claimant": R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue, NE. Respondent Robert E. Bonds, hereinafter referred to as "Res

Stipulated Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 0SW450 Wells Fargo Investmente, LLC Name of the Respondent Hearing Site: IJOS Angeles, Califomia Derek J. Diteni Nature of Dispute: IMember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investmente, LLC, hereinafter referred to as "Claimants or "Wells Fargo': O. Oaxton White, Esq., Kane & Fische

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-00708 Jeffrey B. IHorowitz. Tnjstee of the The Horowitz Family Trust Respondents Hearino Site: San Francisco. Calrfbrnla E*Trade Securities LLC Steven S. Christensen Robert B. Trent Jerry P. Anderson Marcus J. Hernandez Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Jeffrey B.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number 09-00588 Alan J. Yaghdjian Mireille Yaghdjian Name of the Respondent: Hearing Site: San Diego, CalHbmla Charies Schwab & Co.. Inc. Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimants Alan J. Yaghdjian and Mireille Yaghdjian hereinafter collectively refened to as "Claimants": Kenneth H. Stone, Esq., Law Of