AWARD FINRA DISPUTE RESOLUTION CASE: 09-00564 Delores J. McCaslin (Claimant) vs. Wedbush Morgan Securities Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sterling, AK. For Respondent appeared Charles B. LaChaussee, Esq., Wedbush Morgan Securities, Inc., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 26, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unsuitability. The cause

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Sen/ices, Inc. (Claimant) vs. Robert Martin (Respondent) Case Number: 08-00523 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer. Ltd., Chicago, IL. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fordham Financial Management, Inc. (Claimant) vs. Larry Lubarsky (Respondent) Case Number: 09-00293 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fordham Financial Management hereinafter referred to as "Claimant": Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst. NJ. Respondent Larry L

Award FINRA DIsputB Resolution In the Matter of the Arbitration Between: ABS Brokerage Services, LLC, Pro Securities, LLC, and ISERoute, LLC (Claimants) vs. Penson Financial Services, Inc. (Respondent) Case Number: 08-02357 Hearing Site: New York, New York Nature of the Dispute: Members vs. Member REPRESENTATION OF PARTIES Claimants ABS Brokerage Services, LLC ("ABS"), Pro Securities, LLC ("Pro"), and ISERoute. LLC ("ISER"), hereinafter collectively

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04954 CCO Investment Services Corp. (Claimant) vs. Mark James Minnucci (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared David M. Belcher, Esq., of the firm Belcher, Starr & Fitzgerald LLP, Boston, MA. Respondent did not submit, in a timely manner, an Answer to the Statement of Claim. Respondent's only response was a letter to the FINRA staff administrator and two affidavits received on June 9, 2009 wit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas Maoli (Claimant) vs. Morgan Stanley and Company. Inc., and Marc Eisner (Respondents) Case Number: 08-04083 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Thomas Maoli hereinafter referred to as "Claimant": Thomas M. Knepper, Esq., Knepper & Gladney. Georgetown, IL. Respondents Morga

AWARD FINRA DISPUTE RESOLUTION CASE: 09-00131 BBVA Securities of Puerto Rico, Inc. (Claimant) vs. Frank R. Rivera (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sonia Marbarak, CCO, BBVA Securities of Puerto Rico, Inc., San Juan, PR. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 8. 2009 CASE SUMMARY: Claimant alleged breach of contract pursuant to t

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01244 TD Ameritrade. Inc. (Claimant) vs. Mujib Rahman (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade. Inc., Omaha, NE. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: March 6, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, breach of covenant of good

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04818 Louis E. Kuntz and Olga Kuntz JTTEN (Claimants) vs. Wells Fargo Investments. LLC and Perry John Brown (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared pro se, Carrollton, GA. For Respondents appeared Vanessa M. Hoffmann, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: December 12. 2008 CASE SUMMARY: Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alex Zhardanovsky (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 08-04172 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alex Zhardanovsky hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman Link & Sartory. West Palm Beach, FL. Respondent Citigroup Global Markets, Inc., her