Award FINI%A Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-00623 Dickerson Living Trust Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch Pierce Fenner & Smith Inc. Jarrett L. Gounaris Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION QF PARTIES For Dickerson Living Trust, hereinafter referred to as "Claimant": William A. Healy, Esq.,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04374 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Boca Raton, Florida David T. McDowell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Leslie M. Greenspan, Esq., Stradley Ronon Stevens & Young LLP, Ph

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-01281 Marian Zagier Names of the Respondents Hearino Stte: Baitimore, Maryiand Wassemian & Associates, Inc. John Gerard Forre&ter Nature of the Dispute: Customer vs. MemiMrand Associated Person. REPRESENTATION OF PARTIES For Marian Zagier, hereinafter refen^ to as "Claimant": Thonnas C. Costeilo, Esq., West & Costeilo, LLC. Baitim

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04431 Nicholas McCormack (Claimant) vs. Wachovia Securities. LLC, A.G. Edwards & Sons, Inc., Lise Robinson and Jeffrey T. Zelin (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, NonA/alk, CT. For Respondents appeared Patricia E. Cowart, Esq., Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Members and Associated Persons DATE FILED: November 24, 2008 CASE SUMMARY: Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03899 Justin H. Sterling (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Conesus. NY. For Respondent appeared John Bersin. Esq.. E'Trade Securities LLC, Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 23, 2009 CASE SUMMARY: Claimant asserted the following causes of action: misrepresentation; omissions of material facts; breach of fidu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03901 Michael W. Nagy (Claimant) vs. Wachovia Securities, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Fairfax, VA. For Respondent appeared Judy Louie. Esq.. Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 27. 2009 CASE SUMMARY: Claimant asserted the following causes of action: unsuitability and violation

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03588 Helene Intraub (Claimant) vs. TIAA-CREF Individual and Institutional Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Landenberg, PA. For Respondent appeared Carranza M. Pryor, Esq., TIAA-CREF Individual & Institutional Services, LLC. Charlotte. NC. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 12, 2009 CASE SUMMARY: Claimant asserted the following cause of acti

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03525 Citigroup Global Markets. Inc. d/b/a Smith Barney (Claimant) vs. Jean McHale (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Cari A. Lewis. Esq., Alonso. Andalkar & Kahn. P.C., New York, NY. Respondent appeared pro so, Easton. MD. NATURE OF DISPUTE: Member vs. Customer DATE FILED: June 11. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. The cau

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02907 Derrell L. Billington (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young, Jr.. Esq.. Colling, Gilbert, Wright & Carter. Orlando, FL. For Respondent appeared Evelyn C. Best. Esq.. Keesal. Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED:May 19. 2009 CASE SUMMARY; Claimant asserted the following causes of

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02008 Vincent J. Veici (Claimant) vs. Scottrade, Inc., and Sonja Logan (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. La Mirada, CA. For Respondents appeared Dena L. Narbaitz, Esq.. San Francisco, CA and Phyllis Hartrich, Esq., Scottrade. Inc., St. Louis. MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 9, 2009 CASE SUMMARY. Claimant asserted the following ca