Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lillian August (Claimant) vs. Wedbush Morgan Securities, Inc., Debbie M. Saleh, and Ronald E. Vogel (Respondents) Case Number: 09-00866 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Lillian August hereinafter referred to as "Claimant"; Gregory S. Mertz, Esq., Mertz, Talbot & Simonds, PLC, Bur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numt)er 07-03630 Ronald E. Ostlund Name of the Respondents: Hearing Site: l-os Angeles, California Joseph Stevens & Company, Inc. Peter C. Orthos Daniel A. Claps Joseph Sort)ara Linda E. Chudnoff Steven A. Mari«>witz Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ronald E. Ost

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Investments, LLC Respondent Sue H. Lee Counter-Claimant Sue H. Lee Counter-Respondent Wells Fargo Investments, LLC Case Number: 08-00944 Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ian H. Fay (Claimant) vs. BNP Paribas Securities Corp. and BNP Paribas (Respondents) Case Number: 08-04756 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Ian H. Fay hereinafter referred to as "Claimant": Laurence S. Moy, Esq., Outten & Golden. LLP. New York. NY. Respondents BNP Paribas S

Award FINRA Dispute Resolution In the Matter ofthe Artsitration Between: James Dyko and Diane Dyko, JTWROS (Claimants) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 08-03849 Hearino Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants James Dyko ("J. Dyko") and Diane Dyko ("D. Dyko"), hereinafter collectively referred to as "Claimants": John E. Su

Award FiNRA Dispute Resolution in the Matter ofthe Arbitration Between: Jean Powell (Claimant) vs. GunnAlien Financial, inc., and Norair Seferian (Respondents) Case Number: 08-03101 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean Powell hereinafter referred to as "Claimant": Kirk G. Smith, Esq., and Thomas Ruiz, Esq., Shepherd Smith Edwards & Kantas, Houston, TX

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jacl< J. Schwartz (Claimant) vs. Citigroup Global Markets, Inc., James Schwarz, and Donald Rosenthal (Respondents) Case Number: 03-08477 Hearino Site: New Yoric, New Yori< Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jacl< J. Schwartz hereinafter referred to as "Claimant": Laurens R. Schwartz, Esq., Law Office o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Berman and Dorothy Berman (Claimants) vs. Bear Steams & Co.. Inc. (Respondent) Case Number 08-04263 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Richard Berman ("R. Berman") and Dorothy Bemrian ("D. Berman"). hereinafter referred to as "Claimants": Benjamin Lapin, SMRC. Inc.. Brooklyn. NY. At the hea

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00355 Robert R. Kelly (Claimant) vs. Titus & Donnelly LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hillsboro Beach, PL Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: January 22. 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement of Form U5. ARBITRATOR'S REPORT: This cause "came"on for tel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Morgan Stanley & Co., Inc. nik/a Morgan Stanley Smith Bamey LLC. Mark Brown, Todd Walker. John McMahon, James Dowd, and Kathleen Perez (Respondents) Case Number: 07-01736 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinaft