AWARD FINRA DISPUTE RESOLUTION CASE: 09-01617 Sarah A. Maseth (Claimant) vs. Citigroup Global Markets, inc. (Respondent) REPRESENTATION OF PARTIES. Claimant appeared pro se, Napervilie, FL. For Respondent appeared Adam Kauff, Esq., Morgan Stanley Smith Barney, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 23. 2008 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: William H. Gurney (Claimant) vs. Robert Lewis and Lewis l^anagement Corporation (Respondents) Case Number: 08-02919 Hearing Site: Buffalo, New Yorl^ Nature of the Dispute: Associated Person vs. Non-Member and Customer. REPRESENTATION OF PARTIES Claimant William H. Gumey, hereinafter referred to as "Claimant" appeared pro se. Respondents Robert Lewis ("Lewis") and Lewis Managemen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen Howard (Claimant) vs. Wells Fargo Investments, LLC and David M. Logsdon (Respondents) Case Number: 09-00861 Hearino Site: New Yorl< . New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Helen Howard hereinafter referred to as "Claimant": Neil A. Sussman, Esq.. Sussman & Franl^el, LLP. New York, NY. Respondents We

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00637 Rhonda Louellen Redman (Claimant) vs. Kirk Jay Daniels (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sharpsville, IN. Respondent appeared pro se, Kokomo. IN. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 5. 2009 CASE SUMMARY: Claimant asserted the following cause of action: compensation owed. Claim Data Award Data Claim: $5,570.62 Award: $5,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00159 Wachovia Securities, LLC (Claimant) vs. Rocco Licatsi (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. For Respondent appeared James N. Barletti, Esq., Gold, Aibanese & Barletti, Morristown, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 12. 2009 CASE SUMMARY: Claimant alleged that Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01242 Edward D. Gaul (Claimant) vs. Investors Capital Corp., and Bruce Balkcom (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Wanvick, Rl. For Respondents appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Pittsburgh, PA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 9. 2009 CASE SUMMARY: Claimant asserted the following causes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rosalie Sellitto (Claimant) vs. Ameriphse Financial Services, Inc.. and Michael Sangirardi (Respondents) Case Number: 08-01978 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rosalie Sellitto hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq., The Law Offices of Barry M. Bordetsky,

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01081 William Formon and Kimberly A. Formon (Claimants) vs. Charles Schwab & Co., Inc., The Charles Schwab Corporation, Charles Schwab Investment Management, Schwab Investments, Inc., Charles R. Schwab, Evelyn Dilsaver, Randall W. Merk, George Pereira, Mariann Byenvaiter, Donald F. DonA/ard, and William A. Hasler (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Rye, NY. For Respondents Charles Sc

Stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-03940 Metropolitan Life Insurance Company MetLife Securities, Inc. Name of the Respondent Hearino Site: Baltimore, Maryland Robert W. Stankowski Nature of the Dispute: Member vs. Associated Person. For Metropolitan Life Insurance Company ("MetLife") and MetLife Securities, inc. ("MetLife Securities"), hereinafter collecti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02973 Dr. Richard Bames Keith and Rebecca Clower Marshall Glass on behalf of MRG Investors, LLC Larry and Ellen Sagal Kathleen Temes Names of the Respondents Hearing Site: Tampa, Florida Kovack Securities Marco Alessandro Caporale Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES