Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04520 Jeffrey Dane Howes Respondent Hearing Site: Phoenix, Arizona Peak Securities Corporation Nature of the Dispute: Associated Person vs. I\^ember REPRESENTATION OF PARTIES Claimant. Jeffrey Dane Howes, hereinafter referred to as "Mr. Howes" or "Claimant": Mark D. Chester, Esq., Chester & Shein, P.C., Scottsdale, Arizona. Respondent, Peak Se

Award FINRA Dispute Resolution In the Matter of the ArtMtration Betereen: Name of ttffl Claimant Case Number. 08-04374 Mari( G. Steele Name of tiie Resoondent Hearing Site: San Francisco, Califomia Thomas Weisei Partnere LLC Nature of the Dispute: Associated Person vs. Memk>er REPRESENTATION OF PARTIES Claimant, Marie G. Steele, hereinafter referred to as "Claimanf: Ke'itii Ehrman, Esq., McGuinn, Hillsman & Paleteky, San Francisco. Califomia

Award FINRA Dispute Resolution In the Matter of ttie Arbitration Between: Clalmante Steven Cohen and Mareha Cohen Respondente l\1organ Keegan & Company Inc. James C. Kelsoe, Jr. Case Number: 08-03150 Hearina Site: Las Vegas, Nevada Nature of the Dispute: Customere vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimants. Steven Cohen and Marsha Cohen, hereinafter collectively referred to as "Clalmante": Adam J. Gana, Esq.. Nap

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Clalmante Case Number. 09-00086 Vollcan Bericsoy Altynal Bericsoy Respondente Hearing Site: Las Vegas. Nevada Ameriprise Financial Services, Inc. Daniel R. Cleric Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Volkan Bericsoy and Altynal Bericsoy, hereinafter collectively referred to as "Clalmante": VolKan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David J. Aqullina vs. Names of Respondents Citigroup Global Maricets, Inc. d/b/a Salomon Smith Barney, Inc., Marie J. Rogers. Lewis R. Walterhouse II, Robert S. Bradley. Daniel R. Mooradian, Thomas Welch, Jessie E. Colllns-Rehil. Gary W. Jbara, John Doe, Jim Doe, Jane Doe, and Janet Doe Case Number 08-00844 Hearing Site: Detroit, Michigan Ass

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter J. Lucido, Trustee of the Ann Marie Lucido Revocable Trust vs. Names of Respondents Oppenhelmer & Company, Inc. and Mark M. MIrlanI Case Number: 09-01309 Hearing Site: Detroit, Michigan MATURE OF THE DISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Peter J. Lucido, Tmstee of the Ann Marie Lucido Revocable Trus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elliot and Noeline Cuker (Claimants) vs. J. Bush & Company, Inc., Jonathan J. Bush, Webster Bank, N.A., Webster Investment Services, Inc., and Webster Financial Corporation (Respondents) Case Number. 07-01012 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members, Associated Person, and Non-Members. REPRESENTATION OF PARTIES Claimants Elliot Cuker ("E. Cuk

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03589 Carolyn Broughton (Claimant) vs. Brandon Alan Coombs and E*Trade Securities LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco. CA. For Respondents appeared John Bersin. Esq., E*Trade Securities LLC. Roseville. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 12. 2009 CASE SUMMARY: Claimant alleged that she incurred a tax penalty and fees w

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04002 Sylvia E. Mejia (Claimant) vs. Scottrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Hallandle Beach. FL. For Respondent appeared Phyllis A. Hartrich. Esq.. Scottrade, Inc., St. Louis. MO. NAfUR¥dF"DiSPljfEi"Cust"^^ " ~ DATEFILED: July2, 2009 CASE SUMMARY: Claimant alleged that Respondent's errors forced an involuntary Roth IRA conversion resulting in payment of tax, in

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between; George L. Rumelt (Claimant) vs. John A. Fielding and David Lerner Associates, Inc. (Respondents) Case Number: 09-00067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant George L. Rumelt "Claimant" appeared pro se. Respondents John A. Fielding ("Fielding") and David Lerner Associates, Inc. ("David