AWARD FINRA DISPUTE RESOLUTION CASE: 09-02714 Paul L. Strickland (Claimant) vs. Crusader Securities. LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Beijing. China. For Respondent appeared Blair A. West, Crusader Securities, LLC. Southampton. NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: May 4. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unpaid compensation and quantum meruit. Claim

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02086 Raymond Yorke (Claimant) vs. Darrell Hestford and Wells Fargo Investments, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Escondido, CA. For Respondents appeared Vanessa M. Hoffmann, Esq.. Wells Fargo Investments, LLC. San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 13. 2009 CASE SUMMARY: Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03049 Edward D. Jones & Co., L.P. (Claimant) vs. Treavor J. Mosbaugh (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Paul Yarns, Esq.. Goldberg Pickett LLC, St. Louis, MO. Respondent appeared pro se, Aurora, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 27. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Claim DaTa Award Data C

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01119 John Buscema (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Largo. FL. For Respondent appeared John Bersin, Esq., E'Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 28. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates to Dell Inc., commo

AWARD FtNRA Dispute Resolution :n the Matte/ of the AnAiMo'* Between: Name of Ctgiman^ Hertiert D. Kmman Morgan Keegan & Company, Inc and J^.i ShekJori Cuttai Case Number 06-04128 Hearing Site: LouisviHe, Kcntuclcy HATUREOFTHgPIBPUTE Customer VS. Membdrand Associated Person BEPRSSENTftTlQh ftp PWTES Herbert D. Kinman ('Ciaimanr) was represented by James P. McCrockhn. Esq . LDui!«villa. Knitucity Monjan Koegan & Company, Inc. ("Mofgan

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01414 Ray F. Speights and Gayle Speights (Claimants) vs. UBS Financial Services Inc., Robert Johnston. Great American Senior Benefits, and Patrick Monahan (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Cassidy L. Anderson. Esq., George W. Healy. IV & Associates, Gulfport. MS. For Respondents UBS Financial Services Inc., and Robert Johnston appeared Alise Johnson. Esq.. UBS Financial Sen/ices Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louis C. Villamana, as Trustee of the Louis C. Villamana Trust, Carol A. Villamana, as Trustee of the Carol A. Villamana Revocable Trust (Claimants) vs. UBS Financial Services Inc. (Respondent) Case Number: 08-04021 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel. REPRESENTATION OF PARTIES Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Adam R. Lazarus (Respondent) Case Number: 09-01013 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co, Inc., hereinafter referred to as "Claimant": Diana Sur, Esq.. Oppenheimer & Co, Inc., New York, NY. Respondent Adam R. Lazarus, hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ellen Oxman (Claimant) vs. Fidelity Brolcerage Services, LLC and Bert lannone (Respondents) Case Number: 08-04959 Hearino Site: New York. New Yorl^ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ellen Oxman hereinafter referred to as "Claimant": Stanley Alter, Esq., Alter & Alter, New York, NY. Respondents Fidelity Broker

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Capital Markets Corporation (Claimant) vs. Timothy J. Cox (Respondent) Case Number: 09-00366 Hearing Site: New Yort< , New York Nature of the Dispute: Memt)ervs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Capital Markets Corporation, hereinafter referred to as "Claimant": Donald S. Arbour, Esq., Arbour Law Firm. Minneapolis, MN. Respondent Timothy J. Cox, herei