AWARD FINRA DISPUTE RESOLUTION CASE: 09-01005 Richard Biake Stickel TTEE Richard B Stickel Revocable Living Trust and Susan H. Stickei TTEE Susan H. Stickel Revocable Living Trust (Claimants) vs. Charies Schwab & Co., inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared William B. Young, Jr.. Esq., Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Evelyn C. Best. Esq.. Keesai. Young & Logan, Long Beach, CA. NA

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dean E. Hart (Claimant) vs. Chase Investment Services, Corp. (Respondent) Case Number: 09-01030 Hearino Site: New York, New Yorl^ Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dean E. Hart hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services, Corp. ("CISC"): Sheila E. Carson, Esq., JP Morgan Chase Bank N. A.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02796 Steven E. Wheeler (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ryan T. Bakhtiari. Esq.. Aidikoff. Uhl & Bakhtiari, Beverly Hills, CA and Samuel T. Brannan, Esq.. Page Perry. LLC, Atlanta. GA. For Respondent appeared Evelyn A. Christensen. Esq.. Keesai, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May13. 2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Zuclcerberg (Claimant) vs. Meyers Pollock Robbins. Inc. and Euro-Atlantic Securities Inc. (Respondents) Case Number: 09-02434 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Keith Zuckerberg hereinafter referred to as "Claimant" appeared pro se. Respondent Meyers Pollock Robbins, Inc. ("Meyers") did

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01550 David Lester Weigei (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert A. Uhl. Esq.. Aidikoff. Uhi & Bakhtiari. Beverly Hills. CA and Mamie C. Lambert. Esq.. David P. Meyer & Associates Co.. LPA. Columbus, OH. Steven B. Caruso. Esq., Maddox Hargett & Caruso. P.C. and J. Boyd Page. Esq.. Page Perry. LLC. Atlanta, GA. For Respondent appeared Evelyn C.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Citigroup Global Markets, inc. d/b/a Smith Barney (Ciaimant) vs. Mark Amrhein (Respondent) Case Number: 09-02686 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, inc. d/b/a as Smith Barney, hereinafter referred to as "Claimant": Manoj R. Andalkar. Esq.. Aionso, Andalkar & Kahn, PC, New York.

Award FINRA Diepute Reeolutlon In the IViatter of the Arbitration Between: Henry J. Tortora and Herta M. Tortora (Claimants) vs. Fidelity Brokerage Services LLC and Jason L. Bertsch (Respondents) Case Number: 09-01705 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Henry J. Tortora ("H.J. Tortora") and Herta M. Tortora ("H.M. Tortora"). hereinafter collectively re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03230 Craig Taylor (Claimant) vs. Charles Schwab & Co.. inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young. Jr.. Esq.. Coiling. Gilbert. Wright & Carter. Oriando. FL. For Respondent appeared Evelyn C Best. Esq.. Keesai. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. IViember DATE FILED: May 29. 2009 CASE SUMI\/iARY: Ciaimant asserted the following causes of ac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 0g-0Q62S Citigroup Global Maricets Inc., d/b/a Smith Barney Name of the Respondent Hearino Sfte: Ft. Lauderdale, FL Guiliemio Mauricio Forero Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Maricets Inc., d/b/a Smith Barney ("Citigroup"), hereinafter referred to as "Claimant": Erin E. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Islame of the Claimant Case Number: 08-0466fl Dr. Mark L. Perlman Name of the Respondent Hearing Site: Boca Raton, Florida Pruco Securities, LLC Nature of the Dispute: Custonwr vs. Member. REPRESENTATION OF PARTIES For Dr. Mark L Perlman, hereinafter referred to as "Claimant': Marc S. Dobln, Esq., LaBovick & LaBovick, P.A., Palm Beach Gardens, Florida. For Pruco Secu