AWARD FINRA DISPUTE RESOLUTION CASE: 10-01284 Harold Y. Fain TTEE FBO Harold Y. Fain Revocable Trust U/A 12/5/07 (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Boynton Beach, FL. For Respondent appeared Hollle Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 8, 2010 CASE SUMMARY: Claimant asserted the following cause of action: margin interest

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00699 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. David P. Wilson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Mitchell J. Albert, Esq., Albert & Will, LLP, Torrance, CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 11, 2010 CASE SUMMARY; Claimant asserted the following cause of action: bre

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00245 James Quigg (Claimant) vs. Fifth Third Securities, Inc., M. Scott Games, and Ryan Anderson (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Grand Rapids, Ml. For Respondents Fifth Third Securities, Inc., and M. Scott Games appeared Elisabeth M. Von Eitzen, Esq., Warner, Norcross & Judd LLP, Grand Rapids, Ml. Respondent Ryan Anderson did not enter an appearance in this matter. NATURE OF D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anna Kazar (Claimant) vs. Citigroup Global Markets, Inc. and John A. Hochstrasser (Respondents) Case Nunnber: 10-00125 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anna Kazar, hereinafter referred to as "Claimant": Elizabeth Hendricks, Rumson, NJ. Respondents Citigroup Global Markets, In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen H. Klafter (on behalf of his Individual Retirement Accounts), Rita E. Klafter (on behalf of her Individual Retirement Accounts), and Rita E. Klafter (Claimants) vs. Sanford C. Bernstein & Co., LLC (Respondent) Case Number: 09-04492 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimants Stephen H. Klafter, IRA ("S. Kl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07153 Peter Skouras (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared George W. Klein, Esq., George W. Klein & Associates, Forest Hills, NY. For Respondent appeared Kathryn L. Dietrich, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2009 CASE SUMMARY: Claimant asserted t

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-00266 Sara Reed Respondents Hearino Site: San Francisco, Califomla Charles Schwab & Co., Inc. Kimon Peter Daifotis Randall Wayne Merk Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Sara Reed, hereinafter referred to as "Claimant": Irwin Stein, Investors Recovery Sen^ice, Novate. Californi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05821 Robert D. Hoge Names of the Respondents Hearing Site: Atlanta. Georgia Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc. and Christopher M. Payne Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES For Robert D. Hoge, hereinafter referred to as "Claimant": Ro

Award PINRA Dispute Resolution In the Matter of the Ari3itration Between: Name of the Claimant Case Number: 09-05673 Joyce L. Aucoln Name of the Respondent Hearing Site: Los Angeles, California UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Joyce L. Aucoln ("Aucoln"), hereinafter referred to as "Clalmanf: Thomas C. Frost, Esq. and George C. Miller, Esq., Shustak Frost & Partn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-05229 DIvesh K. Makan Chad L. Boeding Respondent Hearing Site: San Francisco, Califomla Goldman, Sachs and Company Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES Claimants, DIvesh K. Makan ("Makan") and Chad L. Boeding ("Boeding'), hereinafter collectively referred to as "Claimants": Rodney J. Heggy, Esq., Fed