FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00846 Jyoti A. Shah, ("Claimant") vs. TD Ameritrade. inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Kalamazoo, Ml. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 22, 2008 CASE SUMMARY: Claimant alleged that Respondent made an erroneous execution in her account. Claimant further alleged

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: PNC Investments. Inc. (Claimant) vs. Andrea M. Sawachulc (Respondent) Case Number: 08-00145 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant PNC Investment, Inc.. hereinafter referred to as "Claimant": Elizabeth M. Hill. Esq.. Uimer Berne LLP, Cleveland, OH. Respondent Andrea M. Sawachuk hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kuriey Dog Investments. LLC, Red Dog Investments. LLC, Anthony J. Antonakis. and John F. Hughes (Claimants) vs. Wachovia Securities and Richard B. Bucldey (Respondents) Case Number: 07-02368 Hearing Site: New London, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Kuriey Dog Investments, LLC ("Kuriey"). Red Dog

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01472 Citigroup Global Markets IHoldings, inc. Citigroup Global Marlcets, Inc. d/b/a Smith Bamey Name of the Respondent Hearina Site: Miami, Florida Carlos A. Shibata Nature of the Dispute: Non-Member and Member vs. Associated Person. For Citigroup Global Markets Holdings. Inc. ("CGMH") and Citigroup Global Markets, Inc. d/b/a Smith Ba

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03018 Giovanni L. Acevedo Names of the Respondents Hearing Site: Boca Raton. Florida Questar Capital Corporation Christina Marie Doone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Giovanni L. Acevedo, hereinafter referred to as "Claimant", appeared pro se. For Questar Capital Corporation

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Darlene Vietri, IRA (Ciaimant) v. Maximum Financial Investment Group, Inc., and Louis John Liberatore, Sr. (Respondents) Case Number: 07-03437 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ciaimant Darlene Vietri, IRA ("Claimant"): John E. Lawlor, Esq.. Law Offices of John E. Lawlor, Mineola, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roxanne IVIarie Braoker (Ciaimant) vs. JPI\4Si n/l< /a J.P. l\^organ Securities. Inc. (Respondent) Case Number: 06-05309 Hearing Site: Buffalo. New York consolidated with Roxanne Marie Brooker (Claimant) vs. Anne M. Saeva, Chase Investment Services Corp., J.P. Morgan ChaseBank, N.A.. J.P. Morgan Chase & Co., Banc One Capital Holdings LLC. JPMSI n/k/a J.P. Morgan Securities. Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lany D. Anderson vs. Case Number: 07-03291 Hearing Site: Minneapolis, Minnesota Name of Respondent GunnAllen Financial, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lany D. Anderson ("Claimant") appeared pro se. Respondent, GunnAllen Financial, Inc. ("Respondent") was represented by Jay Marc Israel, Esq., Lindenhu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas B. Holmes (Claimant) vs. Susquehanna Financial Group. LLP (Respondent) Case Number: 07-03593 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas B. Holmes, hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Greenwich, CT. Respondent Susquehanna

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: William Featherston and Robert H. Grimm (Claimants) vs. CBA Securities, LLC (Respondent) Case Number: 06-04719 Hearina Site: Hartford, Connecticut Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants William Featherston ("Featherston") and Robert H. Grimm ("Grimm"), hereinafter collectively referred to as "Claimants" appeared pro se. Res