Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicholas D. Weiss (Claimant) vs. Saratoga Capital, LLC d/b/a Saratoga Capital Markets (Respondent) Case Number: 09-01241 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Nicholas D. Weiss hereinafter referred to as "Claimant": Stephen J. Nelson, Esq.. The Nelson Law Firm, LLC, White Plains. NY. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jonathan Mandell and Margaret Mandell (Claimants) vs. Abed Mansoor, AIM Resources Services, Inc., and Fidelity Brokerage Services LLC a/k/a Fidelity Investments (Respondents) Case Number: 08-05023 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Members and Member. REPRESENTATION OF PARTIES Claimants Jonathan Mandell ("J. Mandell") and Margaret Mandell (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Augustus T. Capers, Jr. and Gertrude H. Capers (Claimants) vs. Quest Capital Strategies, Inc., and Ridge Clearing and Outsourcing Solutions (Respondents) Case Number: 08-00648 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person/Customer and Customer vs. Members REPRESENTATION OF PARTIES Claimants Augustus T. Capers. Jr. (-A. Capers") and Gertrude H. Capers ("G.

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Robert Berg & Kevin LeBlanc (Claimants) vs. Wachovia Securities and Wachovia Bank (Respondents) Case Number: 07-00680 Hearing Site: New York. New York Nature of tiie Dispute: Associated Persons vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimants Robert Berg ("Berg") and Kevin LeBlanc ("LeBlanc"), hereinafter collectively referred to as "Claimants": Jim L. Batson, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles A. Costanzo (Claimant) vs. Ronald G. Harris, Christopher M. Albright, and Morgan Stanley & Co., Inc. (Respondents) Case Number: 07-02258 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Charies A. Costanzo hereinafter referred to as "Claimant": Nicholas J. Gulliano, Esq., The Gu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00279 Robert Leader, individually, as Tnjstee of Robert Leader Trust and Beneficiary of the Robert Leader CGM IRA Rollover Accounts Eleanor Leader, individually and as Trustee of Eleanor J. Leader Tmst Name of the Respondent Hearino Site: Boca Raton, FL Citigroup Global Mari^ets, Inc. Nature of the Dispute: Customer vs. Memb

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 09-00399 William T. Corp Shiriey F. Corp Name of the Respondent Hearing Site: Oriando, Florida SunTrust Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William T. Corp and Shiriey F. Corp, hereinafter collectively referred to as "Claimants": Phillip J. Snyderisum, Esq., Snyderbum

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03834 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Chariotte, North Carolina Bradley T. Stipp Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer. Ltd.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 08-03503 Mountain Energy, Inc. BPMS Wheaton Square, LLC Dwight Dunton. Jr. Name of the Respondent Hearing Site: Richmond. VA E*Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mountain Energy, Inc., BPMS Wheaton Square, LLC, and Dwight Dunton, Jr., hereinafter collectively referred

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03632 Charles Schwab & Co.. Inc. (Claimant) vs. Wei-Chen Chen and Hsiu-Min Huang (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Brandon K. Hemley, Esq.. Charles Schwab & Co.. Inc., San Francisco, CA. Respondents did not appear in this matter. NATURE OF DISPUTE: Member vs. Customers DATE FILED: June 17. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of agreeme