AWARD FINRA DISPUTE RESOLUTION CASE: 10-02017 Jadwiga Piskozub (Claimant) vs. Citigroup Global Markets, Inc., and Martin Jankowski (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Nicole Grospe, Christine Goodrich, and Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Elizabeth E. Mourn, Esq., Greenberg Traurig, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Member and Associated Pers

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03462 Terrance Eastin and Deanne Eastin (Claimants) vs. Carol Lee Vehmeyer (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Terrance Eastin, Phoenix, AZ. For Respondent appeared Edward J. McNamara, Esq., J.P. Morgan Chase & Co., Chatsworth, CA. NATURE OF DISPUTE: Customers v. Associated Person DATE FILED: July 30,2010 CASE SUMMARY: Claimants asserted the following cause of action: misrepresentatio

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00933 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Richard J. Plevy Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc. hereinafter collectively referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Wort

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02446 Church Resource Ministries Respondents Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. John Conley Thatcher Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Church Resource Ministries, hereinafter referred to as "Claimant": John Halebian, Lovell Stewart Halebian LLP, New Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanne of Claimant Case Number: 10-00578 Linda Soitis Name of Respondents Hearing Site: San Francisco, California Chase Investment Services Corp. (fonnerly WAMU Investments Inc.) Ben Pang Szeto Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Soitis hereinafter referred to as "Claimant": Brett Alan Alcala, Esq. and

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03510 John S. Williams, Individually, as Trustee of the Williams Family Trust of 1987 DTD 11/05/1987, and as Trustee of the Williams Family Bypass Trust U/A DTD 11/05/1987 John D. Williams, acting under Power of Attorney for John S. Williams and as Successor Trustee of the Williams Family Trust of 1987 DTD 11/05/1987, and as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wally Paul Grant (Claimant) vs. Charles Schwab & Co., Peter Pavlakis, and James Luther (Respondents) Case Number: 09-06421 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wally Paul Grant ("Claimant"): Ira Scot Meyerowitz, Esq., Meyerowitz Jekieiek PLLC, New York, NY. Respondents Charles S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah A. Dee (Claimant) vs. Bank of America, N.A., Banc of America Investment Services, Inc.. Nicholas Cafaro, and Patrick Sands (Respondents) Case Number: 09-06861 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customer vs. I^ember, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimant Deborah A. Dee, hereinafter refen-ed to as "Claimant": David J. Pa

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03610 David Fanella (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Mateo, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 10, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of fiduciary duty and unsuitabilit

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03568 Sheldon Teichman and Karen Teichman (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Sheldon Teichman, Monroe Twp, NJ. For Respondent appeared Meredith Faro, Esq., Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: August 5, 2010 CASE SUMMARY: Claimants asserted the following cause of action: una