Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-03480 Nick Shahrestany Milan investments, LP Respondents Hearing Site: Los Angeles, California Morgan Stanley Smith Barney Brian Jason Murphy Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Nick Shahrestany ("Shahrestany") and Milan Investments, LP, hereinafter referred to collectively as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01380 Eleanor Levins Respondent Hearing Site: Boca Raton, Florida Neuberger Berman LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eleanor Levine, hereinafter referred to as "Claimant": Jason S. Haselkorn, Esq., and Matthew N. Thibaut, Esq., Casey Ciklin Lubitz Martens & OConnell, West Palm Beach, Florida. For Neu

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 09-01362 Stuart Bedrin Stuart Bedrin Revocable Taist TTEE Stuart Bedrin Margaret Davon Margaret F. Davon Revocable Taist TTEE Margaret Davon Dorothea Jacoby Revocable Trust TTEE Margaret Davon Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Mari< ets, Inc. Nature of the Dispute: Customer vs. Member.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05433 Adriana E. Suazo and Adrian P. Suazo (Claimants) vs. Scottrade, Inc., and TD Ameritrade, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Fort Pierce, FL. For Respondent Scottrade, Inc., appeared Niels P. Murphy, Esq., Murphy & Anderson, P.A., Jacksonville, FL. For Respondent TD Ameritrade, Inc., appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPU

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ned L. Feldenkreis (Claimant) vs. Ameriprise Financial Services Inc. (Respondent) Case Number: 10-03354 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ned L. Feldenkreis, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philadelphia, PA. Respondent Ameriprise Fina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold Weinberg and Lenore Weinberg (Claimants) vs. Janney Montgomery Scott, Inc. and Bernard Snyder (Respondents) Case Number: 10-01584 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harold Weinberg ("H. Weinberg") and Lenore Weinberg ("L. Weinberg"), hereinafter collectively referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patrick Zilkha (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Steven LaBanca, Ted Candella, and Weiskopf, Silver Equities, Inc. (Respondents) Case Number: 09-02178 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimant Patrick Zilkha, hereinafter referred to as "Claimant": Paul A.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05118 Dawson James Securities, Inc. (Claimant) vs. Steven Lawrence Sadicario (Respondent) REPRESENTATION OF PARTIES: ~" ~~ " For Claimant appeared Albert J. Poliak, Dawson James Securities, Inc., Boca Raton, FL. Respondent appeared pro se, Coral Springs, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Name of Claimants Case Number: 11-00109 Menill Lynch International Finance, Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Denver, Colorado Kristi Lenderman Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants, Merrill Lynch International Finance, Incorporated ("MLIFI"

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00017 Securities America, Inc. (Claimant) vs. Harold Francis Martek (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent appeared pro se, Stuart, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 30, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim D