AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David J. Aqullina vs. Names of Respondents Citigroup Global Maricets, Inc. d/b/a Salomon Smith Barney, Inc., Marie J. Rogers. Lewis R. Walterhouse II, Robert S. Bradley. Daniel R. Mooradian, Thomas Welch, Jessie E. Colllns-Rehil. Gary W. Jbara, John Doe, Jim Doe, Jane Doe, and Janet Doe Case Number 08-00844 Hearing Site: Detroit, Michigan Ass

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter J. Lucido, Trustee of the Ann Marie Lucido Revocable Trust vs. Names of Respondents Oppenhelmer & Company, Inc. and Mark M. MIrlanI Case Number: 09-01309 Hearing Site: Detroit, Michigan MATURE OF THE DISPUTg Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Peter J. Lucido, Tmstee of the Ann Marie Lucido Revocable Trus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elliot and Noeline Cuker (Claimants) vs. J. Bush & Company, Inc., Jonathan J. Bush, Webster Bank, N.A., Webster Investment Services, Inc., and Webster Financial Corporation (Respondents) Case Number. 07-01012 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members, Associated Person, and Non-Members. REPRESENTATION OF PARTIES Claimants Elliot Cuker ("E. Cuk

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03589 Carolyn Broughton (Claimant) vs. Brandon Alan Coombs and E*Trade Securities LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Francisco. CA. For Respondents appeared John Bersin. Esq., E*Trade Securities LLC. Roseville. CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 12. 2009 CASE SUMMARY: Claimant alleged that she incurred a tax penalty and fees w

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04002 Sylvia E. Mejia (Claimant) vs. Scottrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Hallandle Beach. FL. For Respondent appeared Phyllis A. Hartrich. Esq.. Scottrade, Inc., St. Louis. MO. NAfUR¥dF"DiSPljfEi"Cust"^^ " ~ DATEFILED: July2, 2009 CASE SUMMARY: Claimant alleged that Respondent's errors forced an involuntary Roth IRA conversion resulting in payment of tax, in

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between; George L. Rumelt (Claimant) vs. John A. Fielding and David Lerner Associates, Inc. (Respondents) Case Number: 09-00067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant George L. Rumelt "Claimant" appeared pro se. Respondents John A. Fielding ("Fielding") and David Lerner Associates, Inc. ("David

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicholas D. Weiss (Claimant) vs. Saratoga Capital, LLC d/b/a Saratoga Capital Markets (Respondent) Case Number: 09-01241 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Nicholas D. Weiss hereinafter referred to as "Claimant": Stephen J. Nelson, Esq.. The Nelson Law Firm, LLC, White Plains. NY. Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jonathan Mandell and Margaret Mandell (Claimants) vs. Abed Mansoor, AIM Resources Services, Inc., and Fidelity Brokerage Services LLC a/k/a Fidelity Investments (Respondents) Case Number: 08-05023 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Non-Members and Member. REPRESENTATION OF PARTIES Claimants Jonathan Mandell ("J. Mandell") and Margaret Mandell (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Augustus T. Capers, Jr. and Gertrude H. Capers (Claimants) vs. Quest Capital Strategies, Inc., and Ridge Clearing and Outsourcing Solutions (Respondents) Case Number: 08-00648 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person/Customer and Customer vs. Members REPRESENTATION OF PARTIES Claimants Augustus T. Capers. Jr. (-A. Capers") and Gertrude H. Capers ("G.

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Robert Berg & Kevin LeBlanc (Claimants) vs. Wachovia Securities and Wachovia Bank (Respondents) Case Number: 07-00680 Hearing Site: New York. New York Nature of tiie Dispute: Associated Persons vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimants Robert Berg ("Berg") and Kevin LeBlanc ("LeBlanc"), hereinafter collectively referred to as "Claimants": Jim L. Batson, Esq