Award FINRA Dispute Resolution in the Matter of the Art)itration Between: Name of the Claimant Case Number 09-03843 Citigroup Global Maricete inc.. fonneriy known as Salomon Smith Bamey inc. Name of the Respondent Hearina Site: Los Angeles. Califomia Desires H. Lu Nature of the Dispute: Memt)er vs. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Maricete Inc.. fonneriy known as Salomon Smith Bamey inc., hereinafter refen

AMrard FINRA Dispute ReaoMton In the Matter of the Arb'rtratton Between: Name of the Ciaimante Tracy Rae Turner Bradley Dennis McCord Case Number 09-03896 Name of the Respondent CapWest Securities. Inc. Hearing Site: San Diego, California Name of Counter-Claimant CapWest Securities, Inc. Name of the Counter-Resoondente Tracy Rae Turner Bradley Dennis McCord Nature of the Dispute: Associated Persons vs. Memt)er Memk>er vs. Asso

Award FINRA Dispute Resolution In the Matter of the Arbitratton Bebiveen: Claimant Case Number: 09-03604 Wachovia Securities Financial Network, LLC Respondent Hearing Site: Las Vegas, Nevada Jamie Lydeli Dicl( Natore of the Dispute: Member vs. Associated Pereon REPRESENTATION OF PARTIES Claimant, Wachovia Securities Financial Networic, LLC, hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Flor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-01604 Janice C. Duffeic Resoondente Hearina Site: Los Angeles, Calrfomia MacArthur Strategies, inc. Stephen Francis Morton Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Janice C. DufFeic, hereinafter refened to as "Claimant": Janice C. Duffek, in Pre Se, Newport Beach. Califomia. Respo

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of tiie Ciaimante: Case Number 09-01140 Corrine Nesting. Trustee. Kenneth and Eleanor Nesting Living Tmst U/A DTD 10/10/2007 Name of tiie Resoondente: Hearing Site: Portland. Oregon Morgan Stenley & Co., Inc. Steven N. Pedersen Steven P. McShanv Nature of the Dispute: Customer vs. Member and Assocteted Persons REPRESENTATION OF PARTIES Claimant. Corrine Nes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciaimante Case Number 08-00479 Grand Avenue Capitel Partnere, LLC Grand Avenue Capitel, LLC Name of the Resoondente Hearing Site: Los Angeles, Califomia Etech Securities, Ina Nicic Jay Liang Name of the Counter-Claimant Etech Securities, Inc. Name of the Counter-Resoondente Grand Avenue Capital, LLC Grand Avenue Capitel Partnere, LLC Name of t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 06-05227 AIG Financial Advisore. inc. a/k/a Sagepoint Financial inc. Respondent Hearing Site: Phoenix. Arizona Tracy B. Seegott Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. AIG Financial Advisors. Inc.. a/k/a Sagepoint Financial Inc.. hereinafter referred to as "AIG" or "Claimant": Diana McMonagie, Esq.,

AWARD FINFtA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeffrey A. King vs. Case Number 09-02125 IHearing Site: Southfieid, Michigan Name of Respondent Fifth Third Securities, Inc., a FINRA Member Finn MATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jeffrey A. King ("Ciaimanr) was represented by Eric S. Richards, Esq.. and Brian Andrew, Esq.. Mlica Meyere Beclcet & Jones, PLC,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Angelaln Logglns and Dwayne Logglns vs. Case Number 09-00652 IHearing Site: Detroit, Michigan Names of Respondent Meniii Lynch Pierce Fenner & Smith, Inc., and Patrick T. Buschmohle, Jr. THE DISPUTE Customere vs. Member and Associated Person Angeiain Logglns and Dwayne Logglns ("Claimants") were represented by Anthony V. Trogan, Esq.. Anthony V

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce James Rogovin vs. Case Number: 08-02905 IHearing Site: Cincinnati, Ohio Names of Respondents Charies Schwab & Co.. inc., Schwab Investments, Charles Schwab investment Management. Inc., and Robert Edward Lewandowski NATURE OF THE DISPUTE Customer vs. Member. Associated Person, and Non-Member REPRESENTATION OF PARTIES Bmce