AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants George O. Miles and Sharon K. Miles vs. Names of Respondents Wachovia Securities, LLC, Gerald Herbert Rabin, and Gregory Edward Ek Case Number: 08-04505 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES George O. Miles and Sharon K. Miles ("Claimants") appeared pr

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04749 Cheryl Jordan ("Claimant") vs. Morgan Stanley & Co., Inc.. and Stephen Daniel La Cour ("Respondents") REPRESENTATION OF PARTIES: ~~ " Claimant appeared pro se, Tiburon, CA. For Respondents appeared Braden O. Wilhelm, Esq., Morgan Stanley & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customer v. Member and /Associated Person DATE FILED: December 15, 2008 CASE SUMMARY: Claimant alleged that Res

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00523 Judith Ann Mitschke ("Claimant") vs. Charles Roger Webster ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Bloomfield, NJ. Respondent Charles Roger Webster did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: February 2. 2009 CASE SUMMARY: Claimant alleged that Respondent's fraudulent claims about the investment product sold t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00617 James Barron ("Claimant") vs. Fidelity Brokerage Services, LLC ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Natick, MA. For Respondent appeared Diane M. Brown. Esq., Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 2, 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, breach of fiduciary duty,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00901 Arthur F. Arnell and Lois E. Arnell Trustees of The Arnell Family Trust dated 05/06/1992 ("Claimants") vs. Charles Schwab & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Arthur F. Arnell, San Jose, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co.. Inc., San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: February 18. 2009 CASE SUM

AWARD FINRA DISPUTE RESOLUTION CASE: 08-03752 David Friedman ("Claimant") vs. MBSC Securities Corporation d/b/a Dreyfus Retail Services ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, New York, NY. For Respondent appeared Christopher R. Travis. Esq.. Lazare, Potter and Giacovas. LLP, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 14, 2008 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00622 William C. Patterson, IV and Candace Patterson Name of the Respondent Hearing Site: Atlante, Georgia Century Securities Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William C. Patterson, IV and Candace Patterson, hereinafter collectively referred to as "Claimants": Steven J. Ga

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03485 Oppenheinier & Co.. a division of Fahnestock & Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Lisa Delphin, Personal Representative of the Estate of James Delphin Name of the Third Partv Respondent CIBC Worid Market Corp. Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION O

Award FINRA Diapute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02454 Donald Carter Nancy Carter Lauren Eve Carter Educational Trust Lauren Carter Millennium Tmst Stephanie Esther Carter Educational Trust Stephanie Carter Millennium Trust Nancy Carter & Stephanie Asch ig92 Trust Nancy Carter & Kevin Asch Trust Maxine Half Revocable Trust Jennifer Carter Names of the Respondents H

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimante Case Number: Og-04121 Paul J. Lahare Kathleen S. Lahare Names of the Resoondente Hearina Site: New Orleans. Louisiana Kathy Mason Matthew Cotton Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Paul J. Lahare appeared pro-se. For Claimant Kathleen S. Lahare: Paul J. Lahare, Personal Representetive, M