AWARD FINRA DISPUTE RESOLUTION CASE: 09-03445 Oppenheimer & Co., Inc. (Claimant) vs. Duffy J. Worth (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana H. Sur. Esq.. Oppenheimer & Co., Inc.. New York. NY. Respondent appeared pro se, Southington, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 5. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim Data Award D

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02752 David T. Guyton. Jr.. IRA and David Guyton, Jr., TTEE Guyton Family Trust (Claimants) 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: Customers v. Member DATE FILED: May 12, 2009

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Guya Singh Rai (Ciaimant) vs. Barclays Capitel Inc. (Respondent) Case Number: 08-04142 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Guya Singh Rai hereinafter referred to as "Claimant": Noah A. Kinigstein, Attorney at Law, New Yoric, NY. Respondent Barclays Capitel inc., hereinafter referred to as "Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Martin Feinberg (Respondent) Case Number: 09-02227 Hearing Site: New York. New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New York, NY. Respondent Martin Feinberg appeared pro se. CASE INFORMATION St

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03304 Michael G. DeSimone and Nancy M. DeSimone (Claimants) vs. Fidelity Brol^erage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Staten Island. NY. For Respondent appeared Erin K. Fair, Fidelity Investments Institutional Services, Company, Inc., Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 1.2009 CASE SUMMARY: Claimants asserted the following cause o

Award FINRA Dispute Resolution in the Matter of the Art>itratlon Between: Name of the Claimant Case Numt>er: 07-03633 Cltign^up Glok)al Markets Inc., d/b/a Smith Barney Namea of the Resoondente Hearing Sfta: Miami, FL CRL Management, LLC Patricic Neville Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets inc., d/b/a Smith Barney ("Cltlgrcup'). hereinafter referred to as "Claimant": Catan

Award FINRA Dispute Resolution In the Matter of the ArbKratlon Between: Mama of the Claimant Case Number 08-02430 Richard Jordan Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Richard Jordan, hereinafter referred to as "Claimanf: Mark E. Maddox. Esq., Maddox Hargett & Camso, P.O., Fishers, Indiana. For Morgan Keegan & Company,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02039 Lee Ryan Crawford (Claimant) vs. Deborah Calderand U.S. Bancorp Investments, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. Des Moines. WA. For Respondents appeared Jill R. Yutzy. Esq.. Ulmer & Berne LLP. Cleveland, OH. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action, misrepresenta

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03307 Maxim Group LLC (Claimant) vs. Darryl Wise (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher Massey. Maxim Group LLC. New York. NY. Respondent appeared pro se, Yonkers. NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 3. 2009 CASE SUMMARY: Claimant asserted the following causes of action: excess commissions and breach of promissory note. Claim Data ~ Awar

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03491 Walter C. Miksovsky (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co.. LPA. Columbus. OH. For Respondent appeared Evelyn C. Best. Esq.. Keesal. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 8. 2009 CASE SUMMARY: Claimant asserted the following causes of