AWARD FINRA DISPUTE RESOLUTION CASE: 11-00502 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Peter Rhee (Respondent) REPRESENTATION OF PARTIES: For Claimant: Christopher S. Griesmeyer, Esq., Greiman, Rome, & Griesmeyer, LLC, Chicago, Illinois Respondent appeared pro se NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 3, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00970 Ameriprise Financial Services, Inc. (Claimant) vs. Michael G. Hegyan, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant: Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 4, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. The ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01450 Judith A. Malone Name of Respondent Hearing Site: Los Angeles, California Fidelity Brokerage Services LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Judith A. Malone, hereinafter referred to as "Malone" or "Claimant": Russ E. Boitz, Esq., Law Offices of Russ E. Boltz, Laguna Beach, California. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Capital Markets Corporation (Claimant) vs. Marie Levine (Respondent) Case Number: 10-04301 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant RBC Capital Markets LLC, hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss & Early, LLP, New York, NY. Respondent Mark Nomnan Levine, hereinafte

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen/ices, Inc. vs. Case Number: 10-01371 Hearing Site: Detroit, Michigan Names of Respondents William Hunter Brennan and Shane Gavin Springman NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES UBS Financial Sen/ices, Inc. ("Claimant") was represented by Brian S. Hormozi, Esq., Schuyler, Roche & Crisham

AWARD FINRA Dispute Resolution in the Matter of the AriDitration Between: Name of Claimant Cari Meisner, MD vs. Names of Respondents Citigroup Global Maricets, Inc. and David Boyd Endres Case Number: 09-01331 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Cart Meisner, MD ("Claimant") was represented by Eric L. Rhodes, Esq., Lafimer & Rhodes, PC, Houston, T

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Baker Hughes Incorporated and Baker Hughes Treasury Services GMBH vs. Case Number: 08-04893 Hearing Site: Houston, Texas Names of Respondents BNY Mellon Capital Markets, LLC and Pershing, LLC NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Baker Hughes Incorporated and Baker Hughes Treasury Sen/ices GMBH ("Claimants")

AWARD FINF^ Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Robert E. Lee, individually and as Trustee of the Robert Eari Lee Revocable Tmst dated April 1, 2008, Buford E. McCrae ("B.E. McCrae"), Individually and on behalf of the B.E. McCrae Family Limited Partnership, Beatrice M. McCrae, Individually and on behalf of the B.E. McCrae Family Limited Partnership and Victor Stefanovic vs. Case Number: 10-01343

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Bierbaum (Claimant) vs. Credit Agricole Securities (USA), Inc. (Respondent) Case Number: 10-02415 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard L. Bierbaum, hereinafter referred to as "Claimant": Julian W. Friedman, Stillman, Friedman & Shechtman, P.C., New York, NY. Responden

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Michael Greenfield (Claimant) vs. Ronald Edward Hardy and Westpark Capital, Inc. (Respondents) Case Number: 09-06732 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Associated Person and Member. REPRESENTATION OF PARTIES Michael Greenfield, hereinafter referred to as "Claimant": Paul Radvany, Esq., Lincoln Square Legal Services, Inc., New York, NY. Westpark Capit