AWARD FINRA DISPUTE RESOLUTION CASE: 09-03588 Helene Intraub (Claimant) vs. TIAA-CREF Individual and Institutional Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Landenberg, PA. For Respondent appeared Carranza M. Pryor, Esq., TIAA-CREF Individual & Institutional Services, LLC. Charlotte. NC. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 12, 2009 CASE SUMMARY: Claimant asserted the following cause of acti

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03525 Citigroup Global Markets. Inc. d/b/a Smith Barney (Claimant) vs. Jean McHale (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Cari A. Lewis. Esq., Alonso. Andalkar & Kahn. P.C., New York, NY. Respondent appeared pro so, Easton. MD. NATURE OF DISPUTE: Member vs. Customer DATE FILED: June 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. The cau

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02907 Derrell L. Billington (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young, Jr.. Esq.. Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Evelyn C. Best. Esq.. Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED:May 19. 2009 CASE SUMMARY; Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02008 Vincent J. Veici (Claimant) vs. Scottrade, Inc., and Sonja Logan (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. La Mirada, CA. For Respondents appeared Dena L. Narbaitz, Esq.. San Francisco, CA and Phyllis Hartrich, Esq., Scottrade. Inc., St. Louis. MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 9, 2009 CASE SUMMARY. Claimant asserted the following ca

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01972 Morgan Stanley & Co., Incorporated (Claimant) vs. Eric Allen Rice (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Patrick J. Folan. Esq.. St. John, Wallace. Brennan & Foian LLP. Torrance. CA. Respondent appeared pro se, La Jolla. CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of settlement

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01153 Sandra Valentin (Claimant) vs. Chase investment Services Corporation. Jorge Torres, and Yoseph Atwetl (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Joseph Cinquemani. Esq.. Cinquemani & Green, New Rocheile, NY. For Respondents appeared Edward J. McNamara. Esq.. JP Morgan Chase & Co., Chatsworth, CA. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: February 24,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, inc. (Claimant) vs. Wachovia Securities, LLC and Jason Siegei (Respondents) Case Number: 07-01400 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, inc., hereinafter referred to as "'Claimant": Joseph E. Gehring. Jr., Esq.. Gehring & Satriale LLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Christopher Michael Wanken vs. Case Number: 08-04793 Hearing Site: Dallas, Texas Names of Respondents Raymond James Financial Sen/ices, Inc. and John Dwight Wanken Associated Person vs. Member and Associated Person Christopher Michael Wanken ("Claimant" or "Chris Wanken") appeared pro se. Raymond James Financial Sen/ices, Inc. ("RJFS") was represente

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Terry Lee Elschlager and Sherry Elschlager vs. Case Number: 09-02513 Hearing Site: Charleston. West Virginia Name of Respondent Wachovia Securities, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATiQN OF PARTIES Terry Lee Elschlager and Sherry Elschlager ("Claimants") were represented by Stephen P. Meyer, Esq., Meyer, Ford & Glass

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Cheryl D. Seifert vs. Case Number: 08-03323 IHearing Site: Chicago, Illinois Name of Respondent UBS Financial Services Inc. and David Russell Mummery NATURE OF THE DISPUTE Customer vs. Member and Associated Person Cheryl D. Seifert ("CiaimanD was represented by Enwin Cohn, Esq., Cohn & Cohn, Chicago, Illinois. UBS Financial Services Inc. ("U