Award FINFIA Dispute Resolution In the Matter of the Arbiti'ation Between: Claimants Case Number: 09-07154 Beth M. Goldman Jay Boekeiheide Goidman-Boekelheide Family Tmst Beth M. Goldman IRA Rollover (1) Beth M. Goldman IRA Rollover (2) Jay Boekeiheide IRA Jay Boekelhekle Film KEOGH Respondents Hearing Site: San Francisco, California Lincoln Financial Advisors Corporation Stewart John Viets Phillip Joseph Cordano Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-07032 Citigroup Global Markets, Inc. Name of Respondent/Counter-Claimant Hearing Site: San Diego, California Suzanne LaTour Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Citigroup Global Markets, Inc., hereinafter refen'ed to as "CGMI" or "Claimant": Catania T. Facher, Esq. and Just

Award FINF^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06884 Stanley G. Kazezski Lillian J. Kazezski Kazezski Revocable Trust DTD 09/26/90 Name of Respondents Hearing Site: San Francisco, California Wedbush Morgan Securities, Inc. Lisa Ann Gallo Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Stanley G. Kazezski, Lillian J. Kazezski,

Award FINRA Dispute Resolution In the Matter of the Arbitrations Between: Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent/Counter-Claimant James E. Gracia Consolidated with: Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent/Counter-Claimant Roger Esquibel And; Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lauren Vitagliano and Jeanine Thompson (Claimants) vs. Empire Financial Holding Company, Empire Financial Group, Inc., Jesup & Lament, Inc., John James Wilson, and George Tamborello (Respondents) Case Number. 08-00584 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Members, Non Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Wade Hudson (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-04403 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric Wade Hudson, hereinafter referred to as "Claimant": William J. Kupinse, Jr., Esq., Goldstein and Peck, P.C., Bridgeport, CT. Respondent Citigroup Global Marke

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Mitchell S. Kahn (Respondent) Case Number: 09-05562 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Ellen Sheridan- Cona, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent Mitchell S. Kahn hereinafter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04768 UBS Financial Services Inc. (Claimant) vs. Robert Tolstoi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward C. Nowak, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared Brian Reis, Esq., New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Leonard A. Miller, Roth IRA E*Trade Custodian (Claimant) vs. E*Trade Securities LLC (Respondent) Case Number: 10-03172 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Leonard A. Miller, Roth IRA E*Trade Custodian, hereinafter referred to as "Claimant" appeared pro se. Respondent E*Trade Securities LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward P. Wasserman, Charies I. Wasserman, and Michael Leiand Hensch (Claimants) vs. Advanced Equities, Inc. (Respondent) Case Number: 09-01809 Hearing Site: New York, New York Nature of Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Edward P. Wasserman ("E. Wasserman"), Charies I. Wassserman ("C. Wasserman"), and Michael Leiand Hensch ("Hensch"), hereinafter