Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Paul DePalma (Claimant) vs. Weston International Capital Markets LLC and John Richard Liegey (Respondents) Case Number: 10-05253 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel Paul DePalma, hereinafter referred to as "Claimant" appeared pro se. Respondents Weston Internati

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alburnie Wright (Claimant) v. Bart S. Kaplow and Bobby F. Myerson (Respondents) Case Number: 10-02412 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Alburnie Wright, hereinafter referred to as "Claimant": Richard B. Fosher, Esq., Oakes & Fosher, LLC, St. Louis, Mo. Respondent Bart S. Kaplow ("Kap

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan M. Kovner, Joshua A. Kovner Trustee FBO Alan Kovner Irrevocable Trust U/A/D 11/28/06, Alan M. Kovner CGM \RA Custodian, Alan M. Kovner ACF Joshua A. Kovner U/NY/UTMA, and Alan M. Kovner, Scholars Choice FBO Joshua A. Kovner (Claimants) vs. Smith Barney, Inc., Citigroup Global Markets, Inc., Richard P. Altieri, William Samuel Calabretta, Steven C. Sapirstein, and Virginia Mae Wasser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Bird (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 09-06258 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael Bird, hereinafter referred to as "Claimant": Charies A. Stewart, III, Esq., New York, NY. Respondent UBS Securities LLC, hereinafter referred to as "Respondent": Kenneth Ke

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deutsche Bank Securities Inc. (Claimant) vs. Martin Joseph Joyce (Respondent) Case Number: 10-03549 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Deutsche Bank Securities Inc., hereinafter referred to as "Claimant": Andrew T. Solomon, Esq., and Gretchen S. Silver, Esq., Sullivan & Worcester LLP.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04917 CCO Investment Sen/ices Corp. (Claimant) vs. Ted Alex Poulos (Respondent) REPRESENTATION OF PARTIES: For Claimant: David M Belcher, Esq., Belcher, Starr & Fitzgerald LLP, Boston, Massachusetts. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07185 Paul Oshideri Respondents Hearing Site: Los Angeles. Califomia Fidelity Brokerage Sen/ices LLC National Financial Services LLC Frank Sanchez Lawrence Goodkind Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Paul Oshideri, hereinafter refen^ed to as "Claimant": Paul Oshideri, In Pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-00562 Stan Schuldiner, Jr. Name of Respondent Hearing Site: San Francisco, California Vanguard Marketing Corporation Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Stan Schuldiner, Jr., hereinafter referred to as "Claimant": Stan Schuldiner, Jr., pro se, San Francisco, California. Respondent, Vanguard Market

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06493 Richard A. Orkin, Individually, and as Trustee of the DOCSI Corp. Profit Sharing Plan dtd 09/01/91 Sanford L. Orkin as President of DOSCI, LLC f/k/a DOCSI Corp., and on behalf of the DOCSI Corp. Profit Sharing Plan Name of Respondent Hearing Site: Los Angeles, Califomia Citigroup Global Markets, Inc. Nature of the Dispute: Custo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Samuel W. Crichton vs. Case Number: 11-00041 Hearing Site: Charleston, West Virginia Name of Respondent Thomas D. Johnson NATURE OF THE DISPUTE Associated Person vs. Customer The case proceeded under the Majority Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Samuel W. Crichton ("Claimant") was represented by Todd Ratner, Esq.,