Award FINRA Dispute Resolution In the Matter ofthe Artsitration Between: James Dyko and Diane Dyko, JTWROS (Claimants) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 08-03849 Hearino Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants James Dyko ("J. Dyko") and Diane Dyko ("D. Dyko"), hereinafter collectively referred to as "Claimants": John E. Su

Award FiNRA Dispute Resolution in the Matter ofthe Arbitration Between: Jean Powell (Claimant) vs. GunnAlien Financial, inc., and Norair Seferian (Respondents) Case Number: 08-03101 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jean Powell hereinafter referred to as "Claimant": Kirk G. Smith, Esq., and Thomas Ruiz, Esq., Shepherd Smith Edwards & Kantas, Houston, TX

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jacl< J. Schwartz (Claimant) vs. Citigroup Global Markets, Inc., James Schwarz, and Donald Rosenthal (Respondents) Case Number: 03-08477 Hearino Site: New Yoric, New Yori< Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Jacl< J. Schwartz hereinafter referred to as "Claimant": Laurens R. Schwartz, Esq., Law Office o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Berman and Dorothy Berman (Claimants) vs. Bear Steams & Co.. Inc. (Respondent) Case Number 08-04263 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Richard Berman ("R. Berman") and Dorothy Bemrian ("D. Berman"). hereinafter referred to as "Claimants": Benjamin Lapin, SMRC. Inc.. Brooklyn. NY. At the hea

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00355 Robert R. Kelly (Claimant) vs. Titus & Donnelly LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hillsboro Beach, PL Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: January 22. 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement of Form U5. ARBITRATOR'S REPORT: This cause "came"on for tel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Morgan Stanley & Co., Inc. nik/a Morgan Stanley Smith Bamey LLC. Mark Brown, Todd Walker. John McMahon, James Dowd, and Kathleen Perez (Respondents) Case Number: 07-01736 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinaft

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas H. Englehard vs. Case Number. 08-02295 Hearing Site: Chicago. Illinois Name of Respondent Hartford Equity Sales Company. Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Thomas H. Englehard ("Claimanr or "Englehard") was represented by James J. Eccleston, Esq. and Ronald M. Amato. Esq.rShaheen, N

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Name of Respondent Wesley A. Fracker Case Number. 09-04323 Hearing Site: Detroit, Michigan THE DISPUTE Member vs. Associated Person Wachovia Securities, LLC ("Claimant") was represented by Renan I. Sugamian, Esq., Renan Sugarman, P.C., Chicago, Illinois. Wesley A. Fracker did not appear. The Statement of Claim was

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities. LLC vs. Case Number: 08-04652 l-learing Site: Houston, Texas Name of Respondent Lisa M. Alvarado Member vs. Associated Person Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore. Arlington, Virginia. Lisa M. Alvarado ("Respondenf or "Alvarado") was represe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01792 Guy E. Moman. Jr. Anne M. Moman Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. William Legrand Hutchinson Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Guy E. Moman, Jr. and Anne M. Moman, hereinafter collectively referred to as