AWARD FINRA DISPUTE RESOLUTION CASE: 09-03304 Michael G. DeSimone and Nancy M. DeSimone (Claimants) vs. Fidelity Brol^erage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Staten Island. NY. For Respondent appeared Erin K. Fair, Fidelity Investments Institutional Services, Company, Inc., Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: June 1.2009 CASE SUMMARY: Claimants asserted the following cause o

Award FINRA Dispute Resolution in the Matter of the Art>itratlon Between: Name of the Claimant Case Numt>er: 07-03633 Cltign^up Glok)al Markets Inc., d/b/a Smith Barney Namea of the Resoondente Hearing Sfta: Miami, FL CRL Management, LLC Patricic Neville Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets inc., d/b/a Smith Barney ("Cltlgrcup'). hereinafter referred to as "Claimant": Catan

Award FINRA Dispute Resolution In the Matter of the ArbKratlon Between: Mama of the Claimant Case Number 08-02430 Richard Jordan Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Richard Jordan, hereinafter referred to as "Claimanf: Mark E. Maddox. Esq., Maddox Hargett & Camso, P.O., Fishers, Indiana. For Morgan Keegan & Company,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02039 Lee Ryan Crawford (Claimant) vs. Deborah Calderand U.S. Bancorp Investments, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se. Des Moines. WA. For Respondents appeared Jill R. Yutzy. Esq.. Ulmer & Berne LLP. Cleveland, OH. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action, misrepresenta

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03307 Maxim Group LLC (Claimant) vs. Darryl Wise (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher Massey. Maxim Group LLC. New York. NY. Respondent appeared pro se, Yonkers. NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 3. 2009 CASE SUMMARY: Claimant asserted the following causes of action: excess commissions and breach of promissory note. Claim Data ~ Awar

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03491 Walter C. Miksovsky (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Mamie C. Lambert, Esq., David P. Meyer & Associates Co.. LPA. Columbus. OH. For Respondent appeared Evelyn C. Best. Esq.. Keesal. Young & Logan. Long Beach. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 8. 2009 CASE SUMMARY: Claimant asserted the following causes of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04152 Patricia M. Flanagan Name of the Respondent Hearing Site: Columbia, South Carolina UBS Financial Services Inc. Nature of the Dispute: Customer vs. Memt>er. REPRESENTATION OF PARTIES For Patricia M. Flanagan, hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky & Associates, LLC, New Yoric, New York. For U

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number. 08-04168 Amar Paul Singh Sawhney Names of the Respondents Hearing Site: New Orieans, Louisiana TD Ameritrade, Inc. Brian Furrow Frank Sullivan Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES Amar Paul Singh Sawhney. hereinafter referred to as "Claimant", appeared pro se. For TD Amerit

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Names of the Claimant Case Number: 08-04178 David Schwinger Name of the Respondent Hearino Site: Washington. D.C. Fidelity Brokerage Sen/ices LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES David Schwinger, hereinafter referred to as "Claimant", appeared pro se. For Fidelity Brokerage Sen/Ices LLC, hereinafter referred to as "Respondenf: Angela

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02483 Holly Bell Name of the Respondent Hearing Site: Nashville, Tennessee Fifth Third Bank Nature of the Dispute: Associated Person v. Non-Member REPRESENTATION OF PARTIES For Holly Bell, hereinafter referred to as "Claimant": Trippe S. Fried, Esq., Nashville, Tennessee. For Fifth TTiird Bank, hereinafter referred to as "Responde