Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen R. Keenan and Julia A. Keenan (on behalf of their respective Individual Retirement and Annuity Accounts) (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) Case Number: 09-03793 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Stephen R. Keenan (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Gregory J. Kenzik (Respondent) Case Number: 09-00286 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Mark J. Alonso, Esq., Alonso, Andalkar, Toro, Facher

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lehman Brothers Holding Inc., as assignee of Lehman Brothers Inc. (Claimant) v. Pauline Sheedy(Responderit) Case Number: 10-01866 Hearing Site: Boston. Massachusetts Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTiES Claimant Lehman Brothers Holding Inc., as assignee of Lehman Brothers Inc., hereinafter refenred to as "Claimant": Neil A. Sussman, E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05428 Elephant Enterprises, Inc. (Claimant) vs. Edward Jones (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles O'Sullivan, Polk City, FL. For Respondent appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 29, 2010 CASE SUMMARY: Claimant alleged monetary damages in connection with liquidation of their account. C

Award FiNRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05898 Daniel L. Viilanueva Family Trust Name of Respondents Hearing Site: Los Angeles, Califomia Wedbush Securities Inc. Javier Rivera Jimenez Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Daniel L. Viilanueva Family Trust, hereinafter referred to as "Claimanf: Aimee E. Dominguez, Esq.

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Master Consolidated Case Number: 09-04827 Shirley Sanders Duane Sanders James M. Thomas Name of Respondents Hearing Site: Denver, Colorado Allianz Life Financial Services, LLC Shannon M. Bryant Consolidated with: Name of Claimants Subordinate Case Number: 09-04828 Woodrow P. Cole James M. Thomas Name of Respondent Hearing Site: Denver, Colora

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00233 Ameriprise Financial Services, Inc. (Claimant) vs. Greggory Vinson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial, Services, Inc., Detroit, Ml. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 14, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00135 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. Laurence Debord (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael Naccarato, Esq., Wells Fargo Advisors, LLC, St Louis, MO. Respondent appeared pro se, Yorkville, IL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 11. 2011 CASE SUMMARY: Claimant asserted the following cause o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Minnema (Claimant) vs. E*Trade Securities LLC (Respondent) Case Number: 10-03876 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES Claimant Keith Minnema, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheim LLP, New York, NY. Respondent E*Trade Securities LLC, hereinafter ref

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Alan M. Mendelson and Peggy Mendelson vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Geoffrey G. Gregory Case Number: 10-00520 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Alan M. Mendelson ("A. Mendelson") and Peggy Mendelson ("P. Mendelson"), hereinafter collectively referred to a