Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles A. Costanzo (Claimant) vs. Ronald G. Harris, Christopher M. Albright, and Morgan Stanley & Co., Inc. (Respondents) Case Number: 07-02258 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Charies A. Costanzo hereinafter referred to as "Claimant": Nicholas J. Gulliano, Esq., The Gu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-00279 Robert Leader, individually, as Tnjstee of Robert Leader Trust and Beneficiary of the Robert Leader CGM IRA Rollover Accounts Eleanor Leader, individually and as Trustee of Eleanor J. Leader Tmst Name of the Respondent Hearino Site: Boca Raton, FL Citigroup Global Mari^ets, Inc. Nature of the Dispute: Customer vs. Memb

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 09-00399 William T. Corp Shiriey F. Corp Name of the Respondent Hearing Site: Oriando, Florida SunTrust Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William T. Corp and Shiriey F. Corp, hereinafter collectively referred to as "Claimants": Phillip J. Snyderisum, Esq., Snyderbum

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03834 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Chariotte, North Carolina Bradley T. Stipp Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer. Ltd.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 08-03503 Mountain Energy, Inc. BPMS Wheaton Square, LLC Dwight Dunton. Jr. Name of the Respondent Hearing Site: Richmond. VA E*Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mountain Energy, Inc., BPMS Wheaton Square, LLC, and Dwight Dunton, Jr., hereinafter collectively referred

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03632 Charles Schwab & Co.. Inc. (Claimant) vs. Wei-Chen Chen and Hsiu-Min Huang (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Brandon K. Hemley, Esq.. Charles Schwab & Co.. Inc., San Francisco, CA. Respondents did not appear in this matter. NATURE OF DISPUTE: Member vs. Customers DATE FILED: June 17. 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of agreeme

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03337 Mary Herzig (Claimant) vs. E'Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES Claimant appeared pro se. Syosset. NY. For Respondent appeared John Bersin, Esq., E'Trade Securities LLC. Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATEFILED: June 2. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute The cause of action relates to Citibank common shares.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services. Inc. (Claimant) vs. Joseph H. Morrow (Respondent) Case Number: 09-03029 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as 'Claimanf: Diane C. Fisher, Esq.. and Thomas Volz. Esq.. Kane & Fischer. Ltd..

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.. 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 DATE FILED: May 29. 2009 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: J.B. Hanauer & Co. (Claimant) vs. Robert Grossman (Respondent) Case Number: 08-03045 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant J.B. Hanauer & Co., hereinafter referred to as "Claimant": Joseph F. Keenan, Esq.. McCanliss & Early, New York, NY. Respondent Robert K. Grossman hereinafter referred to as "R