AWARD FINRA DISPUTE RESOLUTION CASE: 09-05201 Saul Crafton (Claimant) vs. TD Ameritrade Clearing, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jacksonville, FL. For Respondent appeared Catherine Luth, TD Ameritrade Clearing, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 8, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unauthorized liquidation of shares in account. The

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05484 Citigroup Global Markets, Inc. (Claimant) vs. Jose Rosario (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chad Gottlieb, Esq., Alonso. Andaikar & Kahn, P.C, New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 21. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of contract. Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06378 Gina and Antonio Strazzullo (Claimants) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pembroke Pines, FL. For Respondent appeared Brent J. Burtin, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customers v. Member DATE FILED: November 4. 2009 CASE SUMMARY: Claimants asserted the fbllowing cause of action: misrepresentation. The cau

AWARD FINFVV DISPUTE RESOLUTION CASE: 09-06192 SagePoint Financial, Inc. (Claimant) vs. Mario Camillo (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Noah D. Sorkin, AIG Advisor Group. New York, NY. Respondent appeared pro se. West Falls, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 6, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract and equitable indemnity. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05528 Gary Duane Hicks (Claimant) vs. Pruco Securities, LLC and The Prudential Insurance Company of America (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Columbia City, IN. For Respondents appeared Jeffrey J. Kmocti, Esq., Morgan Lewis & Bocldus LLP, Chicago, IL. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: September 2, 2009 CASE SUMMARY: Claimant asserted the fbllowing c

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Gauthier and Sharon Gauthier (Claimants) vs. Morgan Keegan & Company, Inc., and James C. Kelsoe, Jr. (Respondents) Case Number: 08-03472 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATiON OF PARTIES Claimants Paul Gauthier ("P. Gauthier") and Sharon Gauthier ("S. Gauthier'), hereinafter collectively refen

AWARD FINRA DIeputo Resolution In the Matter of the Ariaibation Between: Name of Claimant Anna Breach vs. Caae Number 08-01503 Hearing Site: Debolt Michigan Names of ResDondente Rrst Republto Group, LLC, Tom Kelly, Eric Henry, and K & H Partnere MATURE OF THE DISPUTF Customer vs. Member, Associated Persona and Non-Memt)er REPRESEMTATIOM OF PARTIES Anna Breach ("Clalnuint") was reprssented by Anthony V. Trogan, Eaq., Anthony V. Tro

Amendad Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00068 Marilyn Rosov, Trustee Marilyn Rosov Revocable Tmst Name of the Respondent Hearing Site: Boca Raton, FL Citigroup Global Maricete Inc. Nature of the Dispute: Customer vs. Member. Public Ariaitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES For Marilyn Rosov, Trustee, Marilyn Rosov Revocable Trust,

Amended Award FINRA Diaputo Resolution In the Matter of the Arbitration Between: Names of the Claimante Case Number: 09-00626 Paul Christensen The Christensen Family I LTD Christensen Enterprises Paul Christensen as Tmstee over the Elizabeth Christensen Tmst Paul Christensen as Tmstee over the Paul E. Christensen Family Tmst Name of the Respondent Hearing Site: Oriando, FL Merrill Lynch, Pterce, Fenner & Smith Inc. Natore of the D

AMENDED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Northern Oil and Gas, Inc. vs. Case Number: 08-04398 Hearing Site: Minneapolis, Minnesota Name of Respondent UBS Financial Sen^ices, Inc. NATURE OF THE DISPUTE Customer vs. Member Public Art)itratDr Pilot Program/All Public Panel REPRESENTATION OF PARTIES Northern Oil and Gas, Inc. ("Claimanr) was represented by Matthew T. Boos, Esq. and