Award Data Award: $7,500.00 Interest: at the rate of six percent (6%) per annum from September 24. 2008 until the award is paid Attorneys' Fees: $500.00 Costs: $750.00 Other: $0.00 AWARD: The undersigned ArtDitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $7,500.00. 2) Respondent is liable for and sha

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03954 Citigroup Global Markets. Inc. (Claimant) vs. Thomas M. Pie (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chad Gottlieb. Esq.. Alonso. Andalkar & Kahn. PC. New York, NY. Respondent appeared pro se, St. Clairsville. OH. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: July 1.2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Claim Data A

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Dino Dionne, National Securities Corporation, National Asset Management, Inc., and Worldwide Wealth Management Inc. (Respondents) Case Number: 07-03514 Hearing Site: New Yorl^, New Yorlc Nature of the Dispute: Member vs. Associated Person, Member, and Non-Members. REPRESENTATION OF PARTIES Claimant Chase Investment Servic

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimante Joseph H. Gibbons and Hilary L. Gibbons vs. Case Number: 08-04460 Hearing Site: Chicago, Illinois Names of Respondente Citigroup Global Marlcets, inc., Jay Hesdorffer, Marietta Hesdorffer, and Michael Coleman Customers vs. Member and Associated Persons Joseph H. Gibbons and Hilary L. Gibbons ("Claimants") appeared pro se. Citigroup Global M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Benjamin Rooks vs. Case Number: 09-01386 Hearing Site: Chicago, Illinois Name of Respondent William Biair & Company. LLC Associated Person vs. Member Benjamin Rooks ("Claimant") was represented by Jeffrey Grant Brown, Esq., Converse & Brown, LLC. Chicago, Illinois. William Blair & Company, LLC ("Respondenr) was represented by Tobias E. Schlueter,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 08-01993 Femand W. Vanler and Dorothy F. Vanier Nanro of the Respondent Hearing Sits: Los Ar^geles, Callibmia Menill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Femand W. Vanier ("F. Vanler^) and Dorothy F. Vanler ("D. Vanier^) hereinafter collecth/ely refenr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04520 Jeffrey Dane Howes Respondent Hearing Site: Phoenix, Arizona Peak Securities Corporation Nature of the Dispute: Associated Person vs. I\^ember REPRESENTATION OF PARTIES Claimant. Jeffrey Dane Howes, hereinafter referred to as "Mr. Howes" or "Claimant": Mark D. Chester, Esq., Chester & Shein, P.C., Scottsdale, Arizona. Respondent, Peak Se

Award FINRA Dispute Resolution In the Matter of the ArtMtration Betereen: Name of ttffl Claimant Case Number. 08-04374 Mari( G. Steele Name of tiie Resoondent Hearing Site: San Francisco, Califomia Thomas Weisei Partnere LLC Nature of the Dispute: Associated Person vs. Memk>er REPRESENTATION OF PARTIES Claimant, Marie G. Steele, hereinafter referred to as "Claimanf: Ke'itii Ehrman, Esq., McGuinn, Hillsman & Paleteky, San Francisco. Califomia

Award FINRA Dispute Resolution In the Matter of ttie Arbitration Between: Clalmante Steven Cohen and Mareha Cohen Respondente l\1organ Keegan & Company Inc. James C. Kelsoe, Jr. Case Number: 08-03150 Hearina Site: Las Vegas, Nevada Nature of the Dispute: Customere vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimants. Steven Cohen and Marsha Cohen, hereinafter collectively referred to as "Clalmante": Adam J. Gana, Esq.. Nap

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Clalmante Case Number. 09-00086 Vollcan Bericsoy Altynal Bericsoy Respondente Hearing Site: Las Vegas. Nevada Ameriprise Financial Services, Inc. Daniel R. Cleric Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Volkan Bericsoy and Altynal Bericsoy, hereinafter collectively referred to as "Clalmante": VolKan