AWARD FINRA DISPUTE RESOLUTION CASE: 09-00131 BBVA Securities of Puerto Rico, Inc. (Claimant) vs. Frank R. Rivera (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sonia Marbarak, CCO, BBVA Securities of Puerto Rico, Inc., San Juan, PR. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 8. 2009 CASE SUMMARY: Claimant alleged breach of contract pursuant to t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01244 TD Ameritrade. Inc. (Claimant) vs. Mujib Rahman (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade. Inc., Omaha, NE. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: March 6, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, breach of covenant of good

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04818 Louis E. Kuntz and Olga Kuntz JTTEN (Claimants) vs. Wells Fargo Investments. LLC and Perry John Brown (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared pro se, Carrollton, GA. For Respondents appeared Vanessa M. Hoffmann, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: December 12. 2008 CASE SUMMARY: Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alex Zhardanovsky (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 08-04172 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alex Zhardanovsky hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman Link & Sartory. West Palm Beach, FL. Respondent Citigroup Global Markets, Inc., her

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04942 Michael W. Leonard ("Claimant") vs. Morgan Stanley & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Louisville, KY. For Respondent appeared Andrew H. Lipton, Esq., Morgan Stanley & Co., Inc., Purchase, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2008 CASE SUMMARY: Claimant alleged that Respondent failed to timely follow his instructions to liquidat

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-03925 W. D. David, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Man Financial. Inc. a/k/a MF Global, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For W. D. David, Jr., hereinafter refen^d to as "Claimant": J. Pat Sadler, Esq.. Sadler & Hovdesven, P.C., Atlanta, Georgia. For Man Financial

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 09-00271 Donna L. Lail ("Claimant") vs. Ameriprise Financial Sen/ices, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se. Cedar Lade, IN. For Respondent appeared Cathy Gress Springer, Ameriprise Financial Sen/ices, Inc., Minneapolis, MN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: January 12,2009 CASE SUMMARY: Claimant is seeking amendment of her Form U5 regarding th

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 08-01600 James S. Bach, individually and as Trustee for James Bach Rev. Living Tmst UAD 11/4/93 Name of the Respondents Hearing Site: Miami, Florida Citigroup Global Markets, Inc. d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James S. Bach, individually and as Toistee for James Bach R

Case Number: 08-00472 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Donald Halfmann and Patricia Halfmann ("Claimants") were represented by John J. Miller, Esq., Swanson Midgley, LLC, Kansas City, Missouri. VFinance Investments, Inc. ("Respondent" or "VFinance") was represented by Adam H. Smith. Esq., Adam H. Smith, PA, Boca Raton. Florida. CASE INFORMATION The Statement of Claim was filed on

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04489 Enrico Cassara (Claimant) vs. E*Trade Clearing LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Old Bridge, NJ. For Respondent appeared in-house counsel John Bersin, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28. 2008 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and misrepresentation. The causes of action relate