AWARD FINRA DISPUTE RESOLUTION CASE: 09-01550 David Lester Weigei (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert A. Uhl. Esq.. Aidikoff. Uhi & Bakhtiari. Beverly Hills. CA and Mamie C. Lambert. Esq.. David P. Meyer & Associates Co.. LPA. Columbus, OH. Steven B. Caruso. Esq., Maddox Hargett & Caruso. P.C. and J. Boyd Page. Esq.. Page Perry. LLC. Atlanta, GA. For Respondent appeared Evelyn C.

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Citigroup Global Markets, inc. d/b/a Smith Barney (Ciaimant) vs. Mark Amrhein (Respondent) Case Number: 09-02686 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, inc. d/b/a as Smith Barney, hereinafter referred to as "Claimant": Manoj R. Andalkar. Esq.. Aionso, Andalkar & Kahn, PC, New York.

Award FINRA Diepute Reeolutlon In the IViatter of the Arbitration Between: Henry J. Tortora and Herta M. Tortora (Claimants) vs. Fidelity Brokerage Services LLC and Jason L. Bertsch (Respondents) Case Number: 09-01705 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Henry J. Tortora ("H.J. Tortora") and Herta M. Tortora ("H.M. Tortora"). hereinafter collectively re

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03230 Craig Taylor (Claimant) vs. Charles Schwab & Co.. inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared William B. Young. Jr.. Esq.. Coiling. Gilbert. Wright & Carter. Oriando. FL. For Respondent appeared Evelyn C Best. Esq.. Keesai. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. IViember DATE FILED: May 29. 2009 CASE SUMI\/iARY: Ciaimant asserted the following causes of ac

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 0g-0Q62S Citigroup Global Maricets Inc., d/b/a Smith Barney Name of the Respondent Hearino Sfte: Ft. Lauderdale, FL Guiliemio Mauricio Forero Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Maricets Inc., d/b/a Smith Barney ("Citigroup"), hereinafter referred to as "Claimant": Erin E. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Islame of the Claimant Case Number: 08-0466fl Dr. Mark L. Perlman Name of the Respondent Hearing Site: Boca Raton, Florida Pruco Securities, LLC Nature of the Dispute: Custonwr vs. Member. REPRESENTATION OF PARTIES For Dr. Mark L Perlman, hereinafter referred to as "Claimant': Marc S. Dobln, Esq., LaBovick & LaBovick, P.A., Palm Beach Gardens, Florida. For Pruco Secu

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03903 William L. Price (IRA R/O) (Claimant) vs. Robert D. Krebs and Wachovia Securities, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Jose, CA. For Respondents appeared Judy Louie. Esq.. Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 24, 2009 CASE SUMMARY: Claimant asserted the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03082 Raymond James & Associates, Inc. (Claimant) vs. Kevin Simpson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelli Bullington. Esq., Raymond James & Associates, Inc., St. Petersburg, FL. Respondent appeared pro se. West Palm Beach. FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 29. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract.

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, Nonn/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: 09-04175 Estate of Norma L. Marks (Claimant) vs. PNC Investments, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Alan Gilmore. Esq.. Lynch. Osborne, Theivakumar & Gilmore LLC. Princeton. NJ. For Respondent appeared Brian A. Carlis. Esq., Stark & Stark. Lawrenceville. NJ. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 13, 2009 CASE SUMMARY: Claimant asserted the following causes of action