Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03685 David E. Haines Nancy A. Haines Respondents Hearing Site: Los Angeles, California CAC Capital Corp. Christopher Anthony Corso, Sr. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. David E. Haines and Nancy A. Haines, hereinafter referred to as "Claimants": John D. Singer, Esq., Sin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00627 Reid & Rudiger, LLC Respondent Hearina Site: Seattle, Washington Ronald L. Williams, a/k/a Ron Williams Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Reid & Rudiger, LLC, hereinafter referred to as "Claimant": Joel S. Foreman, Esq., Curtis, Maliet-Prevost, Colt & Mosle LLP, New York. New York. Respondent, R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02794 Anniica Claris Respondent Hearing Site: Denver, Colorado AIG Financial Advisors and Derek Roy Kent Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Annlka Claris, hereinafter referred to as "Claimant": Steven M. Feder, Esq. and Brett LamplasI, Esq., Feder Law Firm, Denver, Colorado Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lanstone Nominees Pty Ltd, individually and as Trustee of the Barry Fry Superannuation Fund and The Barry Fry Superannuation Fund (Claimants) vs. Morgan Wilshire Securities, Inc., Morgan Wilshire Securities, Pty, Ltd., Anthony Donaruma, Aiexys Mackenzie, Michael John Finnan, and Charles Carriiio (Respondents) Case Number: 06-04706 Hearina Site: New York, New York Nature of the Disp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07 02711 Frederick Jay Arnold, CCialmant^ vs. John Anthony Carney and Donald Drew Siok, ("Respondents") ATTORNEYS: Claimant appeared pro se, Langhome, PA. Respondent John Anthony Camay appeared pm se, Haddonfield, NJ. Respondent Donald Drew Skik appeared pm se, Haddonfield, NJ. NATURE OF DISPUTE: Associated Person vs. Associated Persons" DATE FILED: September 18, 2008 CASE SUMMARY

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00846 Jyoti A. Shah, ("Claimant") vs. TD Ameritrade. inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Kalamazoo, Ml. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 22, 2008 CASE SUMMARY: Claimant alleged that Respondent made an erroneous execution in her account. Claimant further alleged

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: PNC Investments. Inc. (Claimant) vs. Andrea M. Sawachulc (Respondent) Case Number: 08-00145 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant PNC Investment, Inc.. hereinafter referred to as "Claimant": Elizabeth M. Hill. Esq.. Uimer Berne LLP, Cleveland, OH. Respondent Andrea M. Sawachuk hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kuriey Dog Investments. LLC, Red Dog Investments. LLC, Anthony J. Antonakis. and John F. Hughes (Claimants) vs. Wachovia Securities and Richard B. Bucldey (Respondents) Case Number: 07-02368 Hearing Site: New London, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Kuriey Dog Investments, LLC ("Kuriey"). Red Dog

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-01472 Citigroup Global Markets IHoldings, inc. Citigroup Global Marlcets, Inc. d/b/a Smith Bamey Name of the Respondent Hearina Site: Miami, Florida Carlos A. Shibata Nature of the Dispute: Non-Member and Member vs. Associated Person. For Citigroup Global Markets Holdings. Inc. ("CGMH") and Citigroup Global Markets, Inc. d/b/a Smith Ba

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03018 Giovanni L. Acevedo Names of the Respondents Hearing Site: Boca Raton. Florida Questar Capital Corporation Christina Marie Doone Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Giovanni L. Acevedo, hereinafter referred to as "Claimant", appeared pro se. For Questar Capital Corporation