AWARD FINRA DISPUTE RESOLUTION CASE: 09-04755 Jay H. Mintz, IRA Rollover and Jay H. Mintz Revocable Trust (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES; For Claimants appeared William B. Young. Jr.. Esq.. Colling. Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Annie M. Moriarty, Esq.. Keesal, Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customers v. Member DATE FILED; August 7, 2009 CAS

Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Name of the Claimant Case Number: 09-00298 Citigroup Global Mari^ets, Inc., d/b/a Smith Barney Name of the Respondent Hearing Site: Ft. Lauderdale, FL Jason N. Kraskiewicz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., d/b/a Smith Barney ("Citigroup"), hereinafter referred to as "Claimant": Erin E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02486 Clifford D. Spikes and Nancy P. Splices Name of the Respondent Hearing Site: Raleigh. NC CIBC World Markets Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Clifford D. Spikes and Nancy P. Spikes, hereinafter collectively referred to as "Claimants": Bruce D. Cakes, Esq., Cakes & Fosher, LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00272 Margery F. Binch Names of the Respondents Hearing Site: Oriando, FL Charies Schwab & Co.. Inc. Alexander Read Investment Management, Inc. Alexander Read Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Margery F. Binch, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Allen

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Elizabeth C. Roth vs. Names of Respondents J.J.B. Hilfiard, W.L Lyons. LLC and Len McGehee Case Number: 09-01900 Hearing Site: St. Louis, Missouri Customer vs. Member and Associated Person Elizabeth 0. Roth ("Claimant") was represented by J. Christopher Wehrie, Esq., Goldberg Picl^ett, St. Louis, Missouri. J.J.B. Hiliiard, W.L. Lyons. LLC ("Hilii

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04841 Variable Investment Advisors. Inc. (Claimant) vs. Cynthia Steven-Montgomery (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory S. Wilson. Variable Investment Advisors, Inc., Sioux Falls, SD. Respondent appeared pro se. El Cajon, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: chargeback mon

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04794 Janney Montgomery Scott LLC (Claimant) vs. Joseph M. Dorrycott (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared Jill B. Clarke. Esq.. Janney Montgomery Scott LLC, Philadelphia, PA. Respondent appeared pro se, Inwin. PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 12. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04321 Abid A. Shah, as tmstee of the Abid Shah Tmst UAD 9/12/92 Names of the Respondents Hearina Site: Tampa, Florida Merrill Lynch Pierce, Fenner & Smith Incorporated Clyde Wayne McMullen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Abid A. Shah, as tmstee ofthe Abid Shah Tmst UA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Roberte Ritchie as Tmstee of the Roberta Ritchie Trust and co-Tnjstee of the Richard Ritchie Toist Michael Boristow and Christopher Ritchie as co-Tmstees of the Richard Ritchie Trust Names of the Respondente Dakota Securities International, Inc. Stephen E. Glaser Keith Pagan Case Number: 08-02620 Hearina Site: Boca Raton, Florida Nature

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04216 Bill Steinkirchner Name of the Respondent Hearino Site: Oriando, Florida McGinn, Smith & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bill Steinkirchner, hereinafter refened to as "Claimanr: Adam J. Gana, Esq., Napoli Bern Ripka LLP, New Yori(, New Yoric. For McGinn, Smith & Company