Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00297 Rick and Patricia Howard Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rick and Patricia Howard, hereinafter collectively referred to as "Claimants": James D. Sallah, Esq. and Joshua A. Katz, Esq., Sallah and Cox

AWARB RNRA DISPUTE RESOLUTION CASE: Wells Fargo Advisors, LLC (Claimant) vs. Thomas Vertin (Respondent) Case Number: 10-01236 REPRESENTATION OF PARTIES: For Claimant: Brady J. Hennann, Esq,, Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person PATE FILED: March 15. 2010. CASE SUMMARY: Claimant asserted the following cause of action: breach of Claipromis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joyce Yabkow (Claimant) vs. Citigroup Global Markets, Inc. and William J. Burns (Respondents) Case Number: 09-02318 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joyce Yabkow hereinafter referred to as "Claimant": Michael B. Specht, Esq., Schoeps & Specht, Nanuet, NY. Respondents Citigrou

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02028 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Thomas C. Bridge Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. For Thomas C. Br

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01918 Thomas H. Collins, individually, and Thomas H. Collins IRA Names of the Respondents Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. and Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas H. Collins, individually and Thomas H. Collins I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Friedlander (Claimant) vs. Ameriprise Advisor Services, Inc. (Respondent) Case Number: 09-06159 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Eric Friedlander hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheirn LLP, New York, NY. Respondent Ameriprise Advisor Ser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan Hamovitch (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Peter Inserra (Respondents) Case Number: 09-05858 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Hamovitch appeared pro se. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Peter I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Finkelstein (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-04885 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Finkelstein hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New York, NY. Respondent Citigroup Global Markets, Inc. herei

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Kenda K. Pardy vs. Case Number: 10-00131 Hearing Site: Chicago, Illinois Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kenda K. Pardy ("Claimant") appeared pro se. E*Trade Securities, LLC ("Respondent" or "E^Trade") was represented by Meredith Felde, Esq., and John Bersin, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04042 Earl Bentz and Janet Bentz Names of the Respondents Hearing Site: Nashville, Tennessee Morgan Keegan & Company, Inc. Morgan Asset Management, Inc. RMK Multi-Sector High Income Fund, Inc. William F. Wolbrecht, IV Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES For