Award FINRA Dtoputo Resolution In ttie Matter of the Art)itration Between: Mama of ttie Cteimant Case Number 0&^3036 Wachovte Securitiee, LLC Name of ttw Respondent Hearing Site: Ortando, Ftorida John Pascate Nature of the Dispute: Membervs. Associated Person. REPRESENTATION OF PARTIES For Cteimant Wachovia Securities, LLC. hereinafter referred to as "CteimanT: Gregory Tendrich, P.A, Gregory S. Tendrich, Esq., Boca Raton, Florida. Respond

Award RNRA Dteputo Resolution in the Matter of the Arisitration Between: Names of the Ctelmanb Case Number 08-02B33 O. Stanley Thornton Franlde F. Thomton Nama of tha Respondent Hwting SB?; Attenta, Georgia Morgan Keegan and Company, inc. Natere of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For O. Stenlay Thomton and Frankie F. Thomton, hereinafter collectively referred to as "Claimante'': Pratt H. Davis, Esq., Page Perry

AWARD FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of Claimante Gaedeke Hotoings, Ltd., Gaedeke Holdings II, Ltd., and Gaedeke Holdings III, Ltd. vs. Case Number: 08-02695 Hearing Site: Dallas, Texas Names of Respondents Stifel, Nicolaus and Company, Inc. and Century Securities Associates, Inc. Customers vs. Members REPRESENTATION OF PARTIES Gaedeke Holdings, Ltd. ("Gaedeke"), Gaedeke Holdings II, Ltd.

AWARD FINRA Dispute Resolution In the Matter of the Artitration Between: Name of Claimant Wanda L. Fraley vs. Name of Respondent Chase Investment Services Corp. Case Number. 09-03575 Hearing Site: Indianapolis, Indiana MATURE OF-rngPISPUTg Customer vs. Member REPRESENTA-nON OF PARTIES Wanda L. Fraley ('Claimant") was represented by Robert Nast, Louisville, Kentuclcy. Chase Investment Services Corp. ("RespondenT) was represented by Eli

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-05059 Doris Benson Name of the Respondent Hearing Site: PhoenK, Arizona Fidelity Brokerage Services LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Doris Benson, hereinafter raferrBd to as "Claimanr: Pro se, Tucson, Arizona. Respondent, Fidelity Brokerage Sen/ices LLC, hereinafter referred to as "Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-00909 Jere Planck Mary Christine Planck Jere W. and Mary C. Planck Family Trust Name of the Respondents Hearing Site: Phoenix, Arizona UBS Financial Servtees Inc. Scott M. Miller Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Jere Planck, Mary Planck, and Jere W. and Jer

Award FiNFtA Dispuls Resolution In the Matter of the Arbitration Between: Name of the Claimante Case Number 09-03504 Mid Coast Builders Supply, Inc. 2 The New Mid-Coast Plan REC The New Mid-Coast Plan BJC PM The Cook Trust dtd 5/3/88 Mid Coast Builders Mid Coast Builders Supply, Inc. 1 The New Mid-Coast Plan BJC Name of the Reaoondente Hearing Site: Los Angetes, CA Morgan Stenley Smith Bamey John Sottile Citigroup Global Maric

Award FINRA Dispute Resolution In the Matter of the Arbibation Between: Name of the Claimant Qase Number. 09-00976 The Sohaili Trust Name of the Respondent Hearing Site: Los Angeles, California Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Sohaili Trust, hereinafter rsfened to as "Claimanf: Masood Sohaili, Los Angeles, Callfomia. Respondent, Charies Schwab & Co., Inc., herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Tartagiione (Claimant) vs. American Capital Partners, LLC (Respondent) Case Number 09-02523 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael Tartagiione hereinafter refsmed to as "Claimant": Christopher J. Gray, Esq., Christopher J. Gray, P.C, New Yoric, NY. Respondent American Capital Partners, LLC h

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04164 Laura Loudamy (Claimant) vs. E^Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Austin, TX. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to transfer. The cause of action relates to Dell Inc.. common