Award FINRA Dispute Resolution In the Matter of the Art>itration Between: Name of the Claimant: Case Number 07-03012 J.P, Tumer & Company, L.L.C. Name of the Respondents: Hearing Site: Denver, Colorado Rentech, Inc. Jefferies & Company, Inc. Roger Parl(er May Name of the Cross-Claimant: Jefferies & Company, Inc. Name of the Cross-Respondent: Rentech, Inc. Nature of the Disputes: Member vs. Member, Non-Member and Associated Per

Award FINRA Dispute Resolution In the Matter of the ArtMtration Between: Name of the Claimants Case Number 08-02082 Everett C. Ross, individualty, and as trustee of Everett C. and Imogene G. Ross T U/A DTD 10/11/1990 and Imogene G. Ross, individually, and as trustee of Everett C. and Imogene G. Ross T U/A DTD 10/11/1990 Name of the Respondent Hearing Site: San Diego, California Charies Schwab & Co., Inc. Nature of the Dispute: Cus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheCiainrtant Case Number: 08-01035 Lanfear Capital Advisers, LLC Name of the Respondents Hearing Site: San Francisco, Caiifomla Global Crown Capital, LLC Rani Tarek Jaricas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Lanfear Capital Advisers, LLC hereinafter referred to as "Claimant": Jahan P. Raissi, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03250 John Frederick Archer and Karin A. Archer. Joint Tenants ResDondenJ Hearing Site: Dallas, Texas Charles Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, John F. Archer and Karin A. Archer JT, hereinafter collectively referred to as "Claimants" Richard H. Elliot, Esq., Law Offices of Richar

Award FINRA Dispute Resolution In the Matter of the Aititration Between: Claimant Case Number 08-03820 Yui Wing Law Respondents Hearing Site: Los Angeles. Califomla Wells Fargo Investments. LLC Elliot Hsiao Chang Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Yui Wing Law, hereinafter refened to as "Claimanf: In Pro Se. Arcadia, Califomla. Respondents, Wells Fargo Investments, LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew C. Eastwick (Claimant) vs. Memll Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 08-00653 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Matthew C. Eastwick hereinafter referred to as "Claimant": James A. Batson. Esq., Liddle & Robinson, LLP, New Yori< , NY. Respondent Merrill Lynch

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt)er: 06-03849 Barry A. Ross Respondent Hearing Site: Los Angeles. California Wachovia Securities. LLC Counter-Claimant Wachovia Securities. LLC Counter-Respondent Barry A. Ross Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent. Barry A. Ross, hereinafter

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00097 Stephen J. Kraljic ("Claimant") vs. Charles Schwab & Co., Inc. ("Respondent") REPRESENTATION OF PARTIES: For Claimant appeared Samuel T. Brannan, Esq., Page Perry, LLC, Atlanta, GA. For Respondent appeared Evelyn A. Christensen, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 6, 2009 CASE SUMMARY; Claimant alleged misrepresent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00273 Gary N. and Nancy M. Polasek ("Claimants") vs. UBS Financial Services, Inc., ("Respondent") REPRESENTATION OF PARTIES: For Claimants appeared Gary N. Polasek, Abbott, TX. For Respondent appeared Randi Perry Spallina, Esq.. UBS Financial Services, Inc., Fort Lauderdale, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 21. 2009 CASE SUMMARY: Claimants alleged conseq

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 09-00577 Carlos E. Cases ("Claimant") vs. Citigroup Global Markets, Inc. ("Respondent") REPRESENTATION OF PARTIES: Claimant appeared pro se, Fort Worth. TX. For Respondent appeared Adam Kauff, Esq., Citigroup Global Markets, Inc., New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 3, 2009 CASE SUMMARY; Claimant alleged that Respondent executed a sell order that he had