AWHd nNRA Dtapule Reeohillon In the Matter of the Arbitration Between: Oaimante Case Number 05-04291 Winston Lambert Elaine Lambert VVInston Lambert Investment Employee MRP PL Dr. Elaine Lambert Employee GPP PL Winston Lambert Investmente Employee PS PL Reanondente Hearing Site: San Ftendsco, CaMbnUa Wedbush Securtttos, Inc. Christopher Q. Short CountSf'Clalmant Wedbuah Securities Jnc. Winston Lambert Elaine Lambert Wi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00144 CoStar Group, Inc. Names of the Respondente Hearing Site: Washlnaton. D.C. Credit Suisse Securities (USA) LLC Michael Pease Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CoStar Group, Inc., hereinafter refen-ed to as "Claimant": Brian J. Fischer, Esq. and Andrew Weissmann, Es

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Ameriprise Advisor Services, Inc. (fomierly H&R B\odk Financial Advisors, Inc.) (Claimant) vs. Troy A. Joseph (Respondent) Case Number: 09-04955 SITUS: Atlante. Georgia. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Advisor Services, Inc. (fomieriy H&R Blocic Financial Advisors, Inc.), hereinafter referred to as "Claimant": David H. S

stipulated Award FINRA Dispute Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04241 Richard C. Brockway 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 Richard C. Broclcway, hereinafter referred to as "Claimant": Thomas F. Shine, Esq., Indialanti

Award FINRA Dispute Resolution In the Matter of the Ariaitratlon Between: Richard Wolf and Janice Wolf (Claimants) vs. Quester Capitel Corporaflon. Cari ComagUa, and Stephen Bohan (Respondente) Case Number 09-03449 Hearing Site: New London, Connecticut Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Clalmante f^lchard Wolf fR. WoT) and Janice Wolf ("J. WolT). hereinafter coHeclively refened to as "Claiman

Awird FINRA DItpule Resoliillon In the Matter of the Arbitration Between: Claimant Case Number 0m24Q1 VHddOkasaki ResDondenta Hearing Site: Laa Vtoqaa. Nevada Citigroup Global Mariwis. Inc. Paul Alexander Couch Nature of Dispute: Customer vs. Member and Aaaodated Pennn REPRESEMTAnQM OF PARTIEB Claimant VIkki Okasakl. hereinafter refened to as "Claimant: VIMd OkasaM, Henderson, Nevada. Respondents, Citigroup Global Martcets, Ina ("Citi

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Gerald Lanzalotto (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) Case Number: 09-03717 Hearing Site: New Yori«, New Yoric Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Gerald Lanzalotto, hereinafter referred to as "Claimant": Paul B. Radvany. Esq., Lincoln Square Legal Services, Inc., New Yoric, NY. Charies Schwab & Co., inc. hereinafte

Award FINRA DIspiito Retohition In the Matter of the Arbttration Between: Claimants Case Number 08-02847 R. Doming & S. Doming. TTEE Doming Family Uving Trust U/A dtd 02/21/1997; and Sharon M. Deming IRA Respondent Hearing Site: Portland, Oregon Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, R. Deming & S. Deming, TTEE Deming Family Living Trust U/A dtd 02/21/1997 (the TrusIT) a

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01784 UBS Financial Sen/ices (Claimant) vs. Patricic A. Garcia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jordan D. Weinreich, Esq., Riicer Danzig Scherer Hyland Perretti LLP. Monistown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: ApriilS. 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01074 PCG l\1anagement, LP (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James D. Gaberino, Dallas, TX. For Respondent appeared Genna Stephens, Esq., Fulbright & Jaworski, L.L.P., Dallas, TX. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 3, 2010 CASE SUMMARY: Claimant asserted the following causes of action: fraud and hidden