FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00969 Aegis Capital Corp. ("Claimant") vs. Munir Henry Mrkulic ("Respondent") ATTORNEYS: For Claimant appeared Michael H. Ference, Esq., Sichenzia, Ross, Friedman, Ferrence, LLP, New York, NY. Respondent appeared Pro se, Bloomfield, NJ. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 2, 2008 CASE SUMMARY: Claimant alleged that Respondent breached the Deal Summary

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03192 Citigroup Global Markets, Inc. ("Claimant") v. Joseph Frasko ("Respondent") ATTORNEYS: For Citigroup Global Maricets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, NewYori^, NY. Respondent appeared Pro se, New York, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 12,2007 CASE SUMMARY: Claimant alleged a loss incurred due to Respondent's failure t

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00302 Curtis Harold Traylor ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Manvel, TX. For Respondent appeared in-house counsel, Kelly R. Davis, Omaha, NE. NATURE OF DISPUTE; Customer v. IWember DATE FILED: January 26.2008 CASE SUMMARY: Claimant alleged a loss as a result of Respondent's failure to execute his order. Claimant maintained tha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Winnie Yul< wlng Mou (Claimant) v. State Farm VP Management Corp. (Respondent) Case Number: 08-00096 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Winnie Yukwing Mou ("Claimant"): appeared pro se. Previously represented by Elizabeth T. Hill, Esq.. Elizabeth T. Hill. Esq.. Attorney At Law, New York. NY. Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald R. Waselesl< i (Claimant) v. l\^organ Stanley Dean Witter (Respondent) Case Number: 07-03384 Hearino Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES Claimant Ronald R. WaselesKi ("Claimant") appeared pro se. Respondent Morgan Stanley Dean Witter ("Respondent"): Kevin B. Wall^er, Esq., McElroy. Deutsch. Mulvaney & C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen/ices, Inc. vs. Case Number: 07-03545 Hearing Site: Cincinnati, Ohio Name of Respondent Joshua Standlsh Fortin Member vs. Associated Person UBS Financial Services. Inc. ("Claimant") was represented by Gerald T. Roher, Jr., Esq., Schuyler Roche, PC, Chicago. Illinois. Joshua Standish Fortin ("Respondenr) appeared pro se. The Stat

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. and Betty J. Treat vs. Case Number: 06-02307 Hearing Site: St. Louis, Missouri Name of Respondent 1717 Capital Management Company NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Robert J. and Betty J. Treat ("Claimants") were represented by Bnjce D. Cakes, Esq., SimmonsCooper, LLC, East Alton, Illinois. 1717

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: JiWei Respondent: Credit Suisse Securities (USA) LLC Interpleader/Counter-Claimant: Credit Suisse Securities (USA) LLC Counter-Claimant: Natural Flow Limited Third-Party Claimants: Credit Suisse Securities (USA) LLC Natural Flow Limited JiWei Zhu Jun Cross-Claimants: Natural Flow Limited JjWei Zhu Jun Counter-Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan J. Gilmore Gallagher and John F. Gallagher (Claimants) vs. Jesup & Lamont Securities Corp. (Respondent) Case Number: 07-01976 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Susan J. Gilmore Gallagher ("S. Gallagher") and John F. Gallagher ("J. Gallagher"), hereinafter collectively referred to as "Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01113 Howard Braff, ("Claimant") vs. Peter Christian Dunne, ("Respondent") ATTORNEYS: Claimant appeared pro se, Holtsvilie, NY. For Respondent appeared Howard E. Greenbert, Esq.. of the firm Law Offices of Howard E. Greenbert. P.C, Smithtown. NY. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: April 15. 2008 CASE SUMMARY: Claimant alleged that Respondent brea