AWARD FINRA DISPUTE RESOLUTION CASE: 10-01910 J. Kenneth Wilkens (Claimant) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Stockton Springs, ME. For Respondents appeared Brent J. Burtin, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 20, 2010 CASE SUMMARY: Claimant asserted the following causes of action: failure to conduct due diligence and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Linda Fastow Trust Respondents Donald Richanj Marshall Fox & Company Investments Inc. Case Number: 10-00085 Hearing Site: Las Vegas. Nevada Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Fastow Trust, hereinafter refenred to as "Claimant": Brian Fastow, Henderson, Nevada. Respondent, Donald Rich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Ron & Lucille Matricaria Family Trust RAM Investors LP Jefferies RLM Family Tmst Jefferies Respondent Jefferies & Company, Inc. Case Number 09-01514 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ron & Lucille Matricaria Family Trust, RAM Investors LP Jefferies, and RLM Family Trust Je

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anil K. Chawla (Claimant) vs. Carol A. Ring, Greg Albert Libutti, and Valic Financial Advisors, Inc. (Respondents) Case Number: 09-05270 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Anil K. Chawla hereinafter referred to as "Claimant" appeared pro se. Respondents Carol A. Ring ("Ring"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Syed Intesar Haider (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-05060 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Syed Intesar Haider hereinafter referred to as "Claimant": Mark J. Astarita, Esq., Beam & Astarita, LLC, Verona, NJ. Respondent Citigroup Global Markets, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Vandeventer (Claimant) v. Legg Mason Investor Services, LLC and Clearbridge Advisors, LLC (Respondents) Case Number: 09-05533 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas R. Vandeventer hereinafter to as "Claimant": James A. Bradley, Esq., Ackerman Levine Cullen Brickman &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carolyn E. Smith (Claimant) vs. Wells Fargo Advisors, LLC and Viviana Santiago (Respondents) Case Number: 09-06534 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Carolyn E. Smith hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Securities Arbitration Clinic, Hofstra School of Law, He

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01250 Samuel L. Tibbs (Claimant) vs. Interactive Brokers LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Greenville, NC. For Respondent appeared Jeffrey D. Fox, Esq., Interactive Brokers LLC, Washington, DC. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 12, 2010 CASE SUMMARY: Claimant alleged that Respondent sold an illiquid position to rebuild a deficit, which resulted in high c

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: 414 LLC and 515 LLC (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-05154 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants 414 LLC and 515 LLC, hereinafter collectively referred to as "Claimants": Michael M. Steinmetz, Esq., and Chris Fladgate, Esq., Garson, Segal, Steinmetz

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Josephine Pignato (Claimant) vs. Capital One Investments Services Corp. f/k/a North Fork Investment Services LLC (Respondent) Case Number: 09-03015 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Josephine Pignato ("Claimant"): Jenice L. Malecki, Esq., Malecki Law, New York, NY. Respondent Capital One Investment