stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David D. Chotkowski (Claimant) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 07-02598 Hearino Site: Augusta, Maine Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David D. Chotkowski hereinafter referred to as "Claimant" appeared pro se. Respondent RBC Dain Rauscher, Inc., hereinafter referred to as "Respondent": Patrick J. Howl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC (Claimant) vs. Thomas G. Franz and Citigroup Global Markets, Inc. d/b/a Smith Bamey (Respondents) Case Number: 08-01679 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC hereinafter referred to as "Claimant": John O. Lukanski. Esq.,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Trinity Bui (Claimant) vs. D. Wecl^stein & Co.. and Penson Financial Services, Inc. (Respondents) Case Number: 08-00245 Hearing Site: New Yori^, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Trinity Bui hereinafter referred to as "Claimant": Nelson M. Stern, Esq., New Yoric, NY, and Leon Baer Borstein, Esq.. Borstein & Sheinbaum, New Y

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giselo Selo (Claimant) vs. Robert R. Meredith & Co., Inc. (Respondent) Case Number: 08-01148 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Giselo Selo ("Claimant"): Brian Kennedy, Esq., Law Offices of Brian Kennedy, New York. NY. Respondent Robert R. Meredith & Co., Inc., ("Respondent"): Barbara J. Gle

FINRA DISPUTE RESOLUTION AW.\RD FINRA DISPUTE RESOLUTION CASE: 08-00789 Lea Georges, ("Claimant") vs. Morgan Stanley & Co., Incorporated and George D. Terzakis, ("Respondents") ATTORNEYS: For Claimant appeared J. Samuel Tenenbaum, Dir, Esq., of the Bluhm Legal Clinic at Northwestern IJniversity School of Law, Chicago, IL. For Respondent Morgan Stanley & Co., Incorporated appeared In-house Counsel, Daniel Derechin, Esq., Chicago, IL. Respondent G

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02999 Viktor Kilchyk, ("Claimant") vs. TO Ameritrade, Inc.. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Indianapolis, IN. For Respondent appeared James J. Vihstadt, Esq., In-house Counsel, Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 26. 2008 CASE SUMMARY: Claimant alleged negligence for financial keeping; breach of contract agreement by changing in-h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ridge Clearing & Outsourcing Solutions, Inc. f/k/a ADP Clearing & Outsourcing Services, Inc. (Claimant) vs. Arjent Services LLC, Arjent Ltd., and Arjent Limited (Respondents) Case Number: 07-02726 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members and Non-Member. REPRESENTATION OF PARTIES Claimant Ridge Clearing & Outsourcing Solutions, Inc. f/k/a ADP Cl

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Clark Dodge & Co.. Inc. (Claimant) vs. Shawn Vincze (Respondent) Case Number 07-02064 SITUS: New York. New York. NATURE OF DISPUTE: Member v. 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 Shawn Vincze, hereinafter refen'ed

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lorena J. Nicoll Wilbur W.Nicoll Name of the Respondent Morgan Keegan & Company, inc. Case Number: 08-01601 Hearing Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Memtjer. REPRESENTATION OF PARTIES For Lorena J. Nicoll ("L. Nicoll") and Wilbur W. Nicoll CW. Nicoll"), hereinafter collectively referred to as "Claimants": Andre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-01713 Geoffrey C. Church Respondent Hearing Site: \jos Angeles, California James Alexander Counter-Claimant James Alexander Counter-Respondent Geoffrey C. Church Nature of the Dispute: Associated Person vs. Associated Person Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent Geoffrey C. Churc