Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Meyer (Claimant) vs. Christopher D. Bingham, Michael Ray Steinrich, Jean- Michel Robiou, and E*Trade securities, LLC (Respondents) Case Number: 09-00381 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Thomas J. Meyer, hereinafter referred to as "Claimant", appeared pro se. Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: . Names of Claimants George Arzymanow and Christine Arzymanow Case Number: 09-00313 Hearing Site: Houston, Texas Name of Respondent UBS Financial Services, Inc. NATURE QFTHir^Jl^yI fTf- Customers VS. Member REPRESEMTATIQM OF PART^f=5} George Arzymanow and Christine Arzymanow ("Claimants") were represented by Kristin Wilkinson. Esq., The Wilkinson Law Firm, Housto

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00490 Vahik Minaiyan Name of the Respondents Hearing Site: Los Angeles, California Citigroup Global Markets. Inc. Michael Joseph Mildon Lena Thomas Richard Ai McKusick Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Vahik Minaiyan, hereinafter referred to as "Claimant": Vahi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04048 George Toskey Ginette Toskey Respondents Hearing Site: Seattle, Washington Charles Schwab & Co., Inc. Wendy T. Britten Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, George Toskey and Ginette Toskey, hereinafter collectively referred to as "Claimants": James A. Smith, Jr., Smi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00889 Black Rose Equity Management (Claimant) vs. Donald E. Williams (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sandra P. Espinosa, Esq., Lax & Neville, LLP, New Yorl^, NY. Respondent appeared pro se, Portland, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract Claiand m unjusData

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03928 LPL Financial Corporation (Claimant) vs. John G. Wirth (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeffrey K. Compton, Esq., Markun Zusman & Compton LLP, Pacific Palisades, CA. Respondent appeared pro se, Rock Hall, MD. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Representative A

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-03260 Newbridge Securities Corporation, ("Claimant") vs. David Katlic, ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 9, 2008 CASE SUMMARY: Claimant alleged that

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roland B. IHeidelberg, Jr. vs. Case Number: 09-06229 i-learing Site: Dallas, Texas Name of Respondent Fidelity Brolcerage Services LLC NATURE QFTHE DISPUTE Associated Person vs. Member REPRESENTATION QF PARTIES Roland B. i-ieidelberg, Jr. ("Claimant") appeared pro se. Fidelity Brol^erage Services LLC ("Respondent") was represented by Christian Av

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Thomas W. Muecfce vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 10-01172 {Hearing Site: Houston; Texas NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Thomas W. Muecke ("Claimant") was represented by Debra Brewer Hayes, Esq., The Hayes Law Finn, PC, Houston, Texas. Merrill Lynch, Pierce, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05976 Teresa Garcia-Fernandez Names of the Respondents Hearing Site: San Juan, Puerto Rico Citigroup Global Markets, Inc. Raquel Gonzalez Font a/k/a Raquel Gonzalez Chavez Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Teresa Garcia-Fernandez, hereinafter referred to as "Claimant": Yuri