Award FINRA DIsputo Rasoliitlon In the Matter of the Ariaitration Between: Nanneoftheaalmants Case Number OS-03017 Scott Doyle and Patricia Doyle, Joint Tenants Name of the Raaoondent Hearino Site: Los Angeles. Califomia Charies Schwab & Co.. Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Scott Doyle ("S. Doyle") and Patricia Doyle ("P. Doyle'), hereinafter collectively refened to as "Claimants": pro

Award FINRA Dispute Resolution In the Matter of the Artsitratlon Between: Name of the Claimant Case Number: 09-00668 Wachovia Securities. LLC Name of the Respondent Hearina Site: Boca Raton, Florida Bruce K. Bruning Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter refen^d to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Flore, Ariington. Virginia. B

MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 09-00617 James Barron (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Natick, MA. For Respondent appeared Diane M. Brown, Esq., Fidelity Brokerage Services, LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 2. 2009 CASE SUMMARY: Claimant asserted the following causes of action: negligence, breach of fiduciary d

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02151 Merrill Lynch, Pierce, Fenner & Smith Inc. Name of the Respondent Hearina Site: Washington. D.C. Samuel Begun Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce. Fenner & Smith Inc.. hereinafter referred to as "Claimanf: Christopher S. Koller, Esq., Rubin, Fortunate & Harbiso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01644 Wachovia Securities. LLC Name of the Respondent Hearina Site: Raleigh. North Carolina Richard H. Hobgood Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities. LLC CWachovia"), hereinafter refen^d to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington

Awai^ FINRA Dispute Resolution In the Matter of the Arbitration Between: Clark Dodge & Co., Inc. (Claimant) vs. Richard Sonkin (Respondent) Case Number: 07-00870 Hearing Site: New Yoric, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Clark Dodge & Co., Inc., hereinafter referred to as "Claimant": Randle B. Carpenter, Jr., Esq., Carpenters Law Offices, Larchmont, NY. Respondent Richard Sonkin hereinaft

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-04230 Pearlene Perry Love (Claimant) vs. Fidelity Brokerage Sen/ices, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Bedford, TX. For Respondent appeared Corin R. Swift. Esq.. Bingham McCutchen, LLP. Portland, ME. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: November 14. 2008 CASE SUMMARY: Claimant alleged that the reason for termination on her Form U5 filed b

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00227 Gustavo Manuel Vasquez and Magaly Eliza Vasquez (Claimants) vs. UBS Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, McLean, VA. For Respondent appeared Tracey Salmon Smith, Esq.. UBS Financial Services, Inc., Weehawken, NJ. NATURE OF DISPUTE: Customers v. Member DATE FILED: January 9, 2009 CASE SUMMARY: Claimants asserted the following cause of action: conse

Award Data Award: $14,851.52 Interest: at the rate of 5% per annum from August 4, 2008 to date of payment Costs: $525.00 Costs: (Collection Fees) $.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of $14,851.52. 2) Respondent is liable for and shall pay to Claimant Interest at the rate of 5% p

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hector L. Huertas (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-00484 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hector L. Huertas, hereinafter referred to as "Claimant" appeared pro se. Respondent TD Ameritrade, Inc., hereinafter referred to as "Respondent": James J. Vihstadt, Esq., T