Award FINRA Dispute Resolution in the Matter of the Artstoatton Between: Rohan Russell (Claimant) vs. NorUigate Securities, Inc. (Respondent) Case Number 09-00329 Hearing Site: Buffeio, New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Rohan Russell hereinafter referred to as "Claimanf appeared pro se. Respondent Northgate Securities hereinafter referred to as "Respondent^: Kenneth C. Coun^ilie, Esq., Law Office

Award nNRA Dtepute Reeohillon In ttie Matter of the Artxtratton Between: Claimant Case Number 09-04019 Marcte Baker Resoondente Hearing Stta: Seattte, WMitogton Gtobal Trading Group, Ina Wlltem Savary Nature of the Dlaputo: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Marda Baker, heretoafter referred to as "Claimanr: Al Van Kampen, Esq.. LMT Offloes of Rohde & Van Kampen PtIX:. Seattto, Washington. Re

Award FINRA Dtepute Reedutton In the Metier of the Arbttration Between: SlaimaOt Caaa Number 09-0B74B John J. Tennant Jr. Respondent Hearino Site: Portland, Oregon Raymond James Financtel Services, Inc. Nature of tho Dispute: Customorv. Member REPRESEMTATIOM OF PARTlEa Claimant John J. Tennant Jr., hereinafter referred to as "Claimanf: Pro Se. Portiand, Oregon. Respondent Reymond James Financial Services, Ina, hereinafter referred to as

Award FINRA Dtepute Reeolution In the Matter of the Ariaitration Between: Claimant Case Number: 09-03508 Wells Fargo Investmente. LLC Respondent Hearing Site: Los Angeles. Califomia Noyeg Aricoian Nature of the Dispute: IMember vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investmente, LLC, hereinafter referred to as "Claimant": Jin-Ho Chung. Esq., Kane & Fischer, Lto., Chicago, Illinois Respondent, Noyeg Aricoian,

Award FINRA Dispute Resolution In the Matter of the Arbibation Between: Names of the Claimants Case Number 09-03317 l^bert J. tHager Bart)ara J. Hager Name of the Respondent Heerina Site: Tampa, Florida Menlil Lynch. Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert J. Hager and Barbara J. Hager, hereinafter ooilecttvely referred to as "Claimants': Robert K. Savage, Esq., The Sav

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00035 Robert B. Turaic (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sacramento, CA. For Respondent appeared Meredith A. Felde. Esq.. E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. iVIember DATE FILED: December 31. 2009 CASE SUMMARY: Claimant asserted the following cause of action: improper liquidation of shares. The cause

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abraham Koch, Individually and as Trustee of the Abraham Koch Trust U/A/D 12/27/90, and Cecelia A. Koch, Individually and as Trustee of the Cecelia A. Koch Trust U/A/D 12/27/90 (Claimants) vs. Smith Bamey a division of Citigroup Global Maricets, Inc., Douglas Kobal(, and Arthur Weissman (Respondents) Case Number 09-02765 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00071 Maurice Musry (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Long Branch, NJ. For Respondent appeared Payne L. Templeton. Esq., UBS Financial Sen/ices Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 4, 2010 CASE SUMMARY: Claimant asserted the following cause of action: illiquidity of investment. The caus

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00300 Charles Zachary Bomstein (Claimant) vs. Judith Connolly (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, New York, NY. For Respondent appeared David E. Bamberger, Esq., Brickman & Bamberger, Esqs., New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: January 20.2010 CASE SUMMARY: Claimant asserted the following causes of action: excessive commissions, manipulatio

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06313 James D. and Janet D. Cary (Claimants) vs. Fidelity Broicerages Sen/ices, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimante appeared James D. Cary. Montrose. CO. For Respondent appeared Paula McManus, Esq., FMR LLC. Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 2. 2009 CASE SUMMARY: Claimante allege that Respondent disregarded the rules that govern trading and liquid