AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond James & Associates. Inc. vs. Case Number 08-0447g Hearing Site: Chicago, Illinois Name of Respondent Don D. Steriovski NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Raymond James" or "Claimanr) was represented by Kelli Bullington, Esq., Raymond James & Associates, Inc., St.

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: John B. Griff (Claimant) vs. Putnam Lovell NBF Securities. Inc., National Bank of Canada Financial, Inc., and National Banc Financial, Inc. (Respondents) Case Number: 08-02811 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant John B. Griff hereinafter referred to as Xlaimant": Daniel A. Pollack. Esq., and W

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01982 Priscilla Martins (Ctaimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Port Orange. PL. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseviile. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 9. 2009 CASE SUMMARY: Claimant asserted the following causes of action: wire transfer error, negligence, and error charges. The

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant Case Number: 08-01403 Charles Schwab & Co., Inc. Respondents Hearing Site: Albuquerque, New Mexico Lee Eugene Munson, and Portfolio LLC Counter-Claimant Lee Eugene Munson Counter-ResDondent Charles Schwab & Co., Inc. Nature of the Disputes: Member vs. Associated Person and Non-Member, and Associated Person vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in the Matter of the Arbitratkin Between: Name of the Claimant: Case Number: 08-00602 Alvin Relter. Taistee of the Alvin Relter MD Inc. Defined Benefit Trust and Tmstee of the Alvin Relter Living Trust Name of the Respondent: Hearing Site: Los Angeles, California Citigroup Global Maricets Inc. Nature of the Dispute: Customer vs. Memt>er REPRESENTATION OF PARTIES Claimant Alvin Relter. Trustee of the Alvin Relter

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 08-03604 Hearing Site: Houston, Texas Name of Respondent James P. Hutchinson. Jr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Flore, Ariington, Virginia

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 08-02091 Robert D.Reid. ill Name of the Respondent Hearina Site: Atlanta. Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert D. Reid, ill. hereinafter referred to as "Claimant": Robert C. Port, Esq., Cohen Goldstein Port & Gottlieb, LLP, Atlanta. Georgia. Respo

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03283 Charles Schwab & Co., Inc. Name of the Respondent Hearing Site: New Orleans, Louisiana Eric L. Dunavant Nature of the Dispute: Memt>er vs. Associated Person REPRESENTATiON OF PARTIES For Charles Schwab & Co., Inc., hereinafter referred to as "Claimanf: Michael R. Greco, Esq.. Fisher & Phillips. Radnor, Pennsylvania. For Eric

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01894 Jeffrey B. Yeager and Grazyna Yeager (Claimants) vs. Ameriprise Advisor Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se. Shelby Township, Ml. For Respondent appeared Lisa S. Fildes, Esq., and Howard M. Klausmeier, Esq., Ameriprise Advisor Services, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 3, 2009 CASE SUMMARY: Claimants asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02498 Ryan Gulesserian and Cindy Gulesserlan Trustees U/A/D 9-11-2008 FBO The Gulesserian Living Trust (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fair Oaks, CA. For Respondent appeared Harper Fertig, Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 22. 2009 CASE SUMMARY; Claimants asserted t