AWARD FINRA DISPUTE RESOLUTION CASE: 09-04508 Sheldon L. Schafer (Claimant) vs. Citigroup Global Maricets. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Peoria, IL. For Respondent Citigroup Global Maricete, Inc., appeared Harper Fertig-Robinson, Esq., Morgan Stenley Smith Barney. New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: July 23. 2009 CASE SUMMARY: Claimant asserted the toilowing cause of action: teilure

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Marie RosenfekJ and Mona Rosenfeld (Claimants) vs. Raymond James & Associates and Norman Nelson (Respondents) Case Number: 09-00448 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Marie Rosenfeld and Mona Rosenfeld hereinafter coliectiveiy refenred to as "Claimants': Timothy D. Kasti

Award FINRA Dispute Resolution In the Matter of the Artiitration Between: Douglas Cummins (Claimant) vs. Israel A. Englander & Co., Inc. (Respondent) Case Number: 09-04395 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Douglas Cummins hereinafter referred to as "Claimant": Alan L. Sktover, Esq., Benjamin i.^in. Esq., and Daniel Feiber, Esq.. Skiover, Donath & Feiber, LLC, New

Award FINRA Dispute Resolution in tiie Matter of tiie Arbitration Between: George Galajda (Cialmant) vs. 1^ Global Capital Corp. and Tliomas M. Tette (Respondents) Case Number: 09-00382 Hearing Site: Rochester. NewYort^ Nature of thie Dispute: Customer vs. Memk)er and Associated Person. REPRESENTATION OF PARTIES Claimant George Galajda hereinafter referred to as Claimant": Steven Galajda, North Chili. NY. Resporwierrts 1'* Global Capital Corp. ("

Stipulated Award FINRA Dispute Resolution in the Mattorof the Art)itration Between: Claimant/Counter-ResDondent Case Numiaer 08-04325 Wachovte Securities, l-LC ResDondent/Counter-Clalmant Hearino Site: Los Angeles, CalHomia Scotte Carter Nature of the Disputes: Member vs. Associated Person Associated Person v. Member RgPRESENTATIQM OF PARTIFS Claimant/Counter-Respondent Wachovte Securities, LLC hereinafter referred to es "CteimanT or

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nagai Rajendran (Claimant) vs. Emmett A. Laridn Company. Inc. (Respondent) Case Number: 08-03462 Hearino Site: New Yoric. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Cteimant Nagai Rajendran ("Claimant"): Mitchell Mari«)witz and Benjamin Lapin, Stocic Market Recovery Consuitente, Inc.. Brooklyn. NY. Respondent Emmett A. Larkin Company, Inc. ("R

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: David Goldberg and Rosalind Goldberg (Claimants) v. Morgan Keegan & Company, Inc. and James C. Keisoe, Jr. (Respondente) Case Number 08-02985 Hearing Site: New Yori^. New Yori^ Nature of the Dispute: Customere vs. Member and Associated Person. REPRESENTATION OF PARTIES Clalmante David Goldberg ("D. Goldberg") and Rosalind Goldberg ("R. Goldberg"), hereinafter collectively referr

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Andrew McConneii (Claimant) vs. BNP Paribas Securities Corp. (Respondent) Case Number 08-02210 Hearino Site: New Yorit, New Yorl^ Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Andrew McConneli hereinafter rstened to as "Claimanf: Michael Schwartzberg. Esq., Winget, Spadafora & Schwartzberg. LLP, New Yori(, NY. Respondent BNP Parit>as Sec

AWARD FINRA Dleputo Reeolutlon In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-00064 Hearing Site: Cincinnati, Ohio Name of Respondent Thomas S. Widener NATURE OF THE DISPUTE Member vs. Associated Pereon REPRESEMTATIQM OF PARTIES Wachovia Securittes, LLC ("Wachovia") was represented by Greg Simone, Esq., Kane & Fisher, LTD, Chicago, Illinois. Thomas S. Widener ("Respondent")

AWARD FINRA Dispute Reeolutlon In the Matter of the Art)itration Between: Name of Claimant Baron V. Ritohie vs. Case Number: 09-01252 Hearing Site: Detroit, Michigan Names of Respondente Fidelity Brokerage Services, LLC and Jeffrey l^ee Rein NATURE OF THg DISPUTE Customer vs. Member and Associated Pereon Baron V. Ritchie ("Claimant") was represented by Phillip L. Stemberg, Esq., Couzens, L.ansky, Feaik, Ellis, Roeder & i.azar, P.C, Fa