Award FINRA Dispute Resolution in ttie Matter of the Arbttration Between: Name of ttie Ctafcnante Case Number 09-03008 William 8. I^keson, Jr. Mtoheita L. i^keeon Name of ttie Rftsnonrient Hearing Site: Cheriotte, Nortti Carolina Domlnk)ue Godfrey Henri Vercaemert Nature of ttie Dispute: Customer vs. Assoctated Person. REPRESENTATION OF PARTIES For Ctaknanto WHRam B. Lakeson, Jr. fW. Lakeson*^ and MtoheUe L. Lakeson CM. Lakeson'^, hereina

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03921 Mike Zack (Claimant) vs. James Fonseca and Investors Capital Corp. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rancho Mirage, CA. Respondent James Fonseca appeared pro se, Massapequa, NY. For Respondent Investors Capital Corp., appeared Rebecca S. Hice, Lynnfield, MA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: June 25. 2009 CASE SUMMARY: Claimant asserte

Award FINRA DIspufB Resolution In the Matter of the Arbitration Between: Robert A. Poochigian and Linda Poochlgian (Claimants) vs. Wachovia Securities, LLC (Respondent) Case Number 09-01981 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Robert A. Poochigian ("R. Poochigian") and Linda Poochigian ("L. Poochigian"), hereinafter collectively referred to as "Claimants": Nicholas J.

AWARD FINRA DISPUTE RESOLUTION CASE; 09-05873 Michael A. Dach (Claimant) vs. Vanguard Marketing Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rockford, IL. For Respondent appeared Jennifer F. Hinderliter, Esq., Vanguard Marketing Corporation, Wayne, PA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 8, 2009 CASE SUMMARY: Claimant alleged that his account did not accurately reflect his holdings of 6,000 s

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04808 Walter A. Morris, III and Penni J. Morris; Walter A. Morris. Ill, SRA Group; Walter A. Morris, III, Roth Contributory IRA; Penni J. Moms, SRA Group; Penni J. Morris Roth Contributory IRA; and Penni J. Morris (Claimants) vs. Michael Douglas Hanke and Ameriprise Financial Services, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pompano Beach, FL. For Respondent Michael Douglas Hanke ap

Award FINRA Dispute Reeolution in the Matter of the Arbttration Between: Antonio Lisi (Claimant) vs. Conseco Finandai Services, Inc.. and Conseco, inc. (Respondente) Case Number: 09-04000 Hearing Site: Newaric. New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Claimant Antonio Lisi hereinafter referred to as "Claimant" appeared pro se. Respondente Conseco Financiai Services. Inc. ("CFS") and Conse

Award FINRA Dtoputo Reeolution to ttie Matter of ttie Art)ttratton Between: Name of ttie Ctoimante: Case Number 09-00314 Robert J. lafrate. indMduaily and as a Trustee of ttie RJ and MD iafrato Family Tmst Mtohelto D. lafrate, individuaily and as a Tnjstse of the R J and MD Iafrato Family Tmst Name of ttie Reaoondento: Hearing Stte: San Diego, CalHbmia Wachovto Securities. LLC Robert Aton Wetter Natore of the Disputo: Customers vs. Member and Ass

Award FINRA Dtopute Reeolution in ttie Matter of the Art)ttratton Between: Name of ttie Ctoimante Case Number 08-01179 J. Hoibrook. inc. James B. Wiiiard TTEE of Beveriy Hudson Name of the Reaoondent Hearing S'rte: Reno. Nevada Homor, Townsend & Kent. inc. Natore of the Diaputo: Customere vs. Member REPRESENTATION OF PARTIES Ctoimante, J. Hoibrook, inc. CHolbrook^ and James B. Wiiiard TTEE of Beveriy Hudson (^/Viitord'^, hereinafter colle

AWARD FINRA Dtoputo Resolution In the Matter of the Arbttration Between: Namea of Claimante Brian Annstrong and Shawndl L. HatfiekJ vs. Caae Number 08-00737 IHearingStte: Dallas, Texaa Names of Respondente WilltomBuricRosentiial, Julto Ann Rosenthal, and Rosenthal Retirement l^anning, L.P. And Names of Counter-Ctolmante WUIIam Burt( IRosenthal and Julie Ann Rosenthal va. Names of Counter-Resoondente Brian Annsbong and

stipulated Award RNRA Dtepute Reeolution In the Matter of the Aristtratton Between: Name of ttie Ctotoiant Caee Number 08-04982 SMH Capital Ina Name of ttie Reaoondent Hearino SHe: Boca Raton, Ftorida Samuel Alan Rutti Nature of ttie Dispute: Member vs. Assoctoted Person. REPRESENTATION OF PARTIES For SMH Capital Ina, herekiafter reigned to as "Ctoknant": Peter Welto, Esq., [)oyte, Restrspo, Harvln & Robblns, LLP., Houston, Texas. Samuel