AWARD FINRA DISPUTE RESOLUTION CASE: 09-04708 Robert E. Dunn (Claimant) vs. Stephen E. Lomsdalen and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Prescott, AZ. For Respondents appeared Kirsten Patzer, Esq., LPL Financial Corporation. Boston. MA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 6. 2009 CASE SUMMARY: Claimant alleged that Respondents did not exercise due dili

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04432 FSC Securities Corp. (Claimant) vs. Jeffrey Martin Winter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Louis D. Tambaro. Esq.. Marks & Klein. LLP, Red Bank, NJ. Respondent appeared pro se, Waterford, Ml. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 27, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract and unjust enrichment. Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Todd F. Silbergeld (Claimant) vs. Brean Murray, Carret & Co., LLC (Respondent) Case Number: 09-01788 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Todd F. Silbergeld hereinafter referred to as "Claimant" appeared pro se. Respondent Brean Murray, Carret & Co., LLC. hereinafter referred to as "Respondent":

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Credit Suisse Securities (USA) LLC (Claimant) vs. Vita Health of America, LLC and Ronald Feldstein (Respondents) Case Number: 08-04143 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer and Non-Member. REPRESENTATION OF PARTIES Claimant Credit Suisse Securities (USA) LLC, hereinafter referred to as "Claimant": Mary Gail Gearns. Esq., Bingham McCutchen L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; William H. Agnew and Bemadine R. Agnew (Claimants) vs. E*Trade Securities, LLC (Respondent) Case Number: 08-00554 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants William H. Agnew ("W. Agnew") and Bemadine R. Agnew ("B. Agnew"), hereinafter collectively referred to as "Claimants": William H. Agnew. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carol L. Belinkie (Claimant) vs. Thomas Weston Hall (Respondent) Case Number: 09-01893 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Carol L. Belinkie hereinafter referred to as "Claimant" appeared pro se. Respondent Thomas Weston Hill hereinafter referred to as "Respondent"; Steven G. Leventhal, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04755 Jay H. Mintz, IRA Rollover and Jay H. Mintz Revocable Trust (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES; For Claimants appeared William B. Young. Jr.. Esq.. Colling. Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Annie M. Moriarty, Esq.. Keesal, Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customers v. Member DATE FILED; August 7, 2009 CAS

Award FINRA Dispute Resolution In the Matter of the Art^itration Between: Name of the Claimant Case Number: 09-00298 Citigroup Global Mari^ets, Inc., d/b/a Smith Barney Name of the Respondent Hearing Site: Ft. Lauderdale, FL Jason N. Kraskiewicz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., d/b/a Smith Barney ("Citigroup"), hereinafter referred to as "Claimant": Erin E.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02486 Clifford D. Spikes and Nancy P. Splices Name of the Respondent Hearing Site: Raleigh. NC CIBC World Markets Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Clifford D. Spikes and Nancy P. Spikes, hereinafter collectively referred to as "Claimants": Bruce D. Cakes, Esq., Cakes & Fosher, LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00272 Margery F. Binch Names of the Respondents Hearing Site: Oriando, FL Charies Schwab & Co.. Inc. Alexander Read Investment Management, Inc. Alexander Read Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Margery F. Binch, hereinafter referred to as "Claimant": Neal J. Blaher, Esq., Allen