AWARD FINRA DISPUTE RESOLUTION CASE: 09-04337 Jorge A. Perez and MaryEllen Zondorak-Perez (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fort Lauderdale, FL. For Respondent appeared Diane M. Brown. Esq., Fidelity Brokerage Services LLC, New York, NY. NATURE OF DISPUTE: Customers v. Member DATEFILED: July 16. 2009 CASE SUMMARY: Claimants asserted the following causes of action: ne

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Har Nebo Cemetery LP LLC, Richard Levy. General Partner (Claimant) vs. Merrill Lynch Trust Company. FSB, Gershon W. Trimpol, and Jason C. Bridegum (Respondents) Case Number: 09-00288 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Non-Members and Associated Person REPRESENTATION OF PARTIES Claimant Har Nebo Cemetery LP LLC. Richard Levy. General Partner,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jatin Suryawanshi, Partha Sarkar, and Sanjay Girdhar (Claimants) vs. UBS AG and UBS Securities LLC (Respondents) Case Number: 09-02568 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimants Jatin Suryawanshi ("Suryawanshi"), Partha Sarkar ("Sarkar"), and Sanjay Girdhar ("Girdhar"), hereinafter col

AWARD FINRA Dispute Resolution In the Matter of the Arisltration Between: Name of Claimant Albert V. LaCava, Jr. vs. Names of Respondents UBS Financial Services, Inc., Bruce Dyer, and John T. Egan and Name of Counter-Claimant UBS Financial Services, Inc. vs. Name of Counter-Respondent Albert V. LaCava, Jr. Case Number 08-04976 Hearing Site: Cleveland, Ohio Associated Person vs. Member and Associated Persons Albert V. L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant LaVeme Van De Wettering vs. Names of Respondents Stifel, NIcolaus & Co., Inc. and Ronald L. Wruck Case Number: 09-00785 Hearing Site: Milwaukee, Wisconsin MATURE OF THg DISPUTE Customer vs. Member and Associated Person Laveme Van De Wettering ("Claimant") was represented t>y Mark Sanders, Esq. and Sean M. Sweeney. Esq., Hailing & Cayo, S.C, Milwa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 09-01306 Theodore G.M. Jung Name of the Respondent: Hearing Site: Honolulu, Hawaii Citigroup Global Maricete, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Theodore G.M. Jung hereinafter refenred to as "Claimant": Wray H. Kondo, Esq., Watenabe Ing, LLP, Honolulu. Hawaii. Respondent Citigr

Award FINRA Dispute Rssohitton In tiie Matter of the ArisitraUon Between: Name of the Claimante Case Number 08-04815 FredFekl Peari Fold Name of the Respondente Hearing Site: Los Angeles. Callfomia UBS Financial Sen/ices, Inc. Alliance Bemstoln Mutual Funds Nature of the Dispute: Customers vs. Member and Non- Member REPRESENTATION OF PARTIES Claimante, Fred Fold ("F. Feld") and Peari Feid (T. Feid") hereinafter collectively referred t

Award FINRA Dispute Resolution In the Matter of the Artntration Between: Name of the Claimants Case Number 08-01361 Michael Bond Margaret Bond Name of the Respondents Hearing Site: Denver. Colorado UBS Financial Services Inc. UBS Securities LLC UBS AG Nature of the Dispute: Customers vs. Memk)ers and Non-Memfc>er REPRESENTATION OF PARTIES Claimants, Michael Bond and Margaret Bond, hereinafter collectively referred to as "Claimants

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04340 Jorge A. Perez (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Lauderdale. FL. For Respondent appeared Diane M. Brown. Fidelity Brokerage Services LLC. Boston MA. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 16. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, misinformation, omissions, and f

Award HNRA Dispute Resolution In the Matter of the Arbitration Between: Name off the aaimants Nick C. Dalley and Rose Marie Dalley Case Number, 08-04519 Name of the Respondent Mutual Securities, Inc. a/k/a Cowles, SakK3l & Company, Inc. and Davkl R. Milter Hearing Site: Los Angeles. CaRfbmla Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Nick C. Dalley ("N. Dalle/) and Rose Marie