AWARD FINRA DISPUTE RESOLUTION CASE: 09-06663 Newbridge Securities Corporation (Claimant) vs. Andres Tobon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWkie Asset Recovery Group. Inc., Hazlet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 23, 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissor

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06892 Raymond James Financial Services. Inc. (Claimant) vs. Robert i\1ayfield (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Derek C. Anderson, Esq., Michaels, Ward & Rabinovltz, LLP, Boulder, CO. For Respondent appeared Jeffrey S. Kob. Esq., Jeffrey S. Kob, APO, Coronado, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 10, 2009 CASE SUMMARY; Claimant asserted the followin

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06541 Jeff Jemlgan and Jill Jernigan (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Pat Huddleston. 11, Esq., The Huddleston l-aw Finn. Kennesaw. GA. For Respondent appeared Sean B. Meehan. Esq., Charies Schwab & Co., Inc.. San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 17. 2009 CASE SUMMARY: Claimants asserted the fo

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05763 Preston A. Reed 2000 Trust U/A DTD 02/25/2000 (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Preston A. Reed, South Hampton, NH. For Respondent appeared Eric J. Glassman, Esq., Mennemeier, Glassman & Stroud LLP, Sacramento, CA. NATURE OF DISPUTE: Customer v. iVIember DATE FILED: October 7, 2009 CASE SUMMARY: Claimant asserted the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05556 John Garnet Sellers (Claimant) vs. Empire Financial Group, Inc., Jesup & Lamont Securities Corporation, Donald Anthony Wojnowslci, Jr.. Steven Michael Rabinovici, Empire investment Advisore, inc.. and Jesup & Lamont, Inc. (Respondents) vs. Penson Financial Services, inc. (Third-Party Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Valrico. FL. For Respondents Empire Financial Group, Inc., Jes

Award FINRA Dispute Resolution In the Matter of the Arbitretion Between: Anthony O. Brown (Claimant) vs. UBS Flnandals Services. Inc.. UBS Wealth Management U.S.. UBS Altemative Investmente U.S. Group, and Daniel Livingstone (Respondente) Case Number: 08-04698 Hearing Site: New York. New Yoric Nature of the Dispute: Customer vs. Memt)er. Non-Memisere, and Associated Person. REPRESENTATION OF PARTIES Claimant Anthony O. Brown hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Eileen G. Alters and Geoffrey Roy Akers (Clalmante) vs. Citigroup Global Maricete, Inc. and Jonathan R. Elyachar (Respondente) Case Number: 08-04668 Hearing Site: Hartferd, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Clalmante Eileen G. Akere ("Eileen Alcers") and Geoffrey Roy Akere ("Geoffrey Akere"), hereinafter col

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Linda M. Manjarrez (Claimant) vs. Paul E. Hess, Joseph Samuel Deitch, as general Partner of Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Networi(, Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Networi( (Respondente) Case Number 08-04432 Hearing Site: Boston, Massachusette Nature of the Dispute: Customer vs. Associated Persons and Member. REPRES

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06896 Edward M. Gudelinis (Claimant) vs. Aegis Capitel Corp. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Selden. NY. For Respondent appeared Robert J. Eide, Aegis Capital Corp.. New Yoric, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 10,2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of fiduciary duty, unjust enrichment, and gross negl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mon Bok Chu (Claimant) vs. AB Watley Direct, Incorporated (Respondent) Case Numt>er: 09-06046 Hearing Site: New Yoric, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Mon Bole Chu hereinafter referred to as "Ciaimanf: Kevin Conway, Esq., Conway & Conway, New Yoric, NY. Respondent AB Watley Direct, Incorporated hereinafter refened to as "Re