Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 08-02091 Robert D.Reid. ill Name of the Respondent Hearina Site: Atlanta. Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert D. Reid, ill. hereinafter referred to as "Claimant": Robert C. Port, Esq., Cohen Goldstein Port & Gottlieb, LLP, Atlanta. Georgia. Respo

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03283 Charles Schwab & Co., Inc. Name of the Respondent Hearing Site: New Orleans, Louisiana Eric L. Dunavant Nature of the Dispute: Memt>er vs. Associated Person REPRESENTATiON OF PARTIES For Charles Schwab & Co., Inc., hereinafter referred to as "Claimanf: Michael R. Greco, Esq.. Fisher & Phillips. Radnor, Pennsylvania. For Eric

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01894 Jeffrey B. Yeager and Grazyna Yeager (Claimants) vs. Ameriprise Advisor Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Shelby Township, Ml. For Respondent appeared Lisa S. Fildes, Esq., and Howard M. Klausmeier, Esq., Ameriprise Advisor Services, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 3, 2009 CASE SUMMARY: Claimants asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02498 Ryan Gulesserian and Cindy Gulesserlan Trustees U/A/D 9-11-2008 FBO The Gulesserian Living Trust (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fair Oaks, CA. For Respondent appeared Harper Fertig, Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 22. 2009 CASE SUMMARY; Claimants asserted t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01884 Michael M. Metis (Claimant) vs. UBS Financial Services. Inc., and John Fitzpatrick (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared W. Alexander Melbardis, Esq., East Setauket, NY. For Respondents appeared Jon D. Kaplon, Esq., UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2009 CASE SUMMARY: Claimant asserted

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: TD Banknorth, NA (Claimant) vs. National Planning Corporation and Jeffrey P. Davis (Respondents) Case Number: 07-02564 IHearina Site: Hartford, Connecticut Nature of the Dispute: Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant TD Banl^north, NA, hereinafter referred to as "Claimant": Melvin A. Simon, Esq.. and Thomas W. Witherington, Esq., Cohn Bi

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02281 Fayed O. Fayed (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Parkland, FL. For Respondent appeared John Bersin, E*Trade Securities LLC. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 24, 2009 CASE SUMMARY; Claimant alleged a loss resulting from illiquidity of investment sold to him. The cause of action relates to Calamus

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01272 David Starl^son (Claimant) vs. Princor Financial Services Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Glendale, AZ. For Respondent appeared Ann Hudson, Princor Financial Sen/ices Corporation, Des Moines, lA. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 6, 2009 CASE SUMMARY; Claimant alleged that Respondent failed to complete his unscheduled transfer request

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francois Albert Pages (Claimant) vs. Calyon Securities (USA) Inc. (Respondent) Case Number: 08-01653 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Francois Albert Pages hereinafter referred to as "Claimant": Chaya F. Weinberg-Brodt, Esq., and Mollis Gonerka Bart, Esq., Withers Bergman LLP, New York, NY.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Phyllis Andriani. Individually and as Tmstee of the Marital Trust and Non-Marital Trusts Under the Will of Salvatore Andriani (Claimants) vs. Wachovia Securities. LLC, and Morgan Stanley & Co., Inc. (Respondents) Case Number: 08-04451 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Members. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF