Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Richard Guldo vs. Case Number: 10-02950 Respondent Citigroup Global Markets, Inc. Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Richard Guide, hereinafter referred to as "Claimant": Mitchell Markowitz, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Citigrou

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01291 Joseph Trudel (Claimant) vs. ShareBuilder Securities Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Tucson, AZ. For Respondent appeared Curtin Martin, ING Direct Investing, Inc., Seattle, WA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 24, 2011 CASE SUMMARY: Claimant asserted the following causes of action: unauthorized transfer of funds and viola

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant CIBC World Markets Corp. Case Number: 10-05192 vs. Respondents Robert Schwabe Stanley Stem Richard White Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant CIBC Worid Markets Corp., hereinafter referred to as "Claimant": Lloyd S. Clareman, Esq., NewYork, NY. Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant James Wendell Welsh Case Number: 10-03514 vs. Respondents Bellevue Chicago, LLC TD Ameritrade, Inc. Hearing Site: Tampa, Florida Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES James Wendell Welsh, hereinafter referred to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P.A., St. Petersburg, FL. Bellevue Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00019 Joaquin Egberto Ramirez Marcillo Mariana Linzan de Ramirez Respondents Hearing Site: Miami, Florida Morgan Keegan & Company, Inc. Julio Almeyda Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimants Joaquin Egberto Ramirez Marcillo ("Marcillo") and Mariana Linzan de Ramirez ("Ramirez")

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 11-00171 Morgan Stanley & Co. Incorporated Respondent Hearing Site: Portland, Oregon Ryan Cole Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. incorporated, hereinafter referred to as "Claimant": Matthew Schurter, Esq., Morgan Stanley Smith Barney, Chicago, Illinois. Respondent, Ryan Cole, here

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Uvesf Financial Services Group, Inc. vs. Respondent Frank A. Dittrick Case Number: 11-01429 SITUS: Baltimore, Maryland NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: WiHlam S. Heyman, Offit Kurman, P.A., Fulton, Maryland Respondent did not enter an appearance in this matter. DATE FILED: April/. 2011 CASE SUMMARY: Claimant a

AWARD FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Names of Claimants Rhonda Wesolak and John Wesolalc vs. Case Number: 10-00417 Hearing Site: Kansas City, Missouri Names of Respondents Mercer Capital Ltd., John Anthony Salino, Lynn Gordon Schuitz, Mark Phillip Eichner, Ron Jason Ison, Gregg Cliaries Lorenzo, and Estate of Leonard C. Demers NATURE OF THE DISPUTE Customers vs. Member, Associated Persons, and Non-M

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-04464 Jeffrey J. Jankowski Name of Respondents Hearing Site: Denver, Colorado Daniel G. Lempe Anthony J. Campen Presidential Brokerage, Inc. Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Jeffrey J. Jankowski, hereinafter referred to as "Claimant": Pro Se, Denver, Colorado

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01797 UBS Financial Services Inc., as successor in interest to UBS International Inc. (Claimant) vs. Esteban Llavallol (Respondent) REPRESENTATION OF PARTIES: Claimant UBS Financial Services Inc., as successor in interest to UBS International Inc., hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland & Perretti LLP, Morristown, NJ. Respondent Esteban Llavallol, hereinafter re