AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Orrin Edward Lebrew, Christine Megan O'Leary, and Edward Troy Harmon vs. Name of Respondent BNY Mellon Capital Markets. LLC Case Number: 10-02363 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Orrin Edward Lebrew ("Lebrew"), Christine Megan O'Leary ("O'Leary") and Edwa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ameriprise Financial Services, Inc. (Claimant) vs. Jason Peroni (Respondent) Case Number: 09-06212 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane. Esq., Kane & Fischer, Ltd., Chicago. IL. Respondent Jason Pero

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03465 Edward J. Schiavi Name of Respondent Hearing Site: Albuquerque, New Mexico Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Edward J. Schiavi, hereinafter referred to as "Claimanf: Christopher M. Moody, Esq., Moody & Warner, P.C., Albuquerq

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03819 B. Wilmont Williams Respondents Hearing Site: Atlanta, Georgia SunTrust Investment Services, Inc. d/b/a Alexander Key Roger C. Shaffer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For B. Wilmont Williams, hereinafter referred to as "Claimant": Matthew M. Wilkins, Esq., King & Yak

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02648 Next Financial Group, Inc. Respondent Hearing Site: Orlando, Florida William Abruzzino Nature of the Dispute: Member vs Associated Person. REPRESENTATION OF PARTIES For Next Financial Group. Inc., hereinafter referred to as "Claimant": Owen P. McGill, Esq., Shumaker, Loop & Kendrick. LLP, Tampa, Florida. William Abruzzino, hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01893 Steven Smith Respondent Hearing Site: Washington. D.C. Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Steven Smith, hereinafter referred to as "Claimant": Patricia L. Payne, Esq., Payne 8i Associates, Washington D.C. For Citigroup Global Markets Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06859 Dr. Donald Steinberg TTEE FBO Dr. Donald Steinberg Revocable Trust U/A/D 3/18/92 Respondents Hearing Site: Boca Raton, FL Morgan Stanley Smith Barney Citigroup Global Markets Inc. Thomas Michael Konopka Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Donald Steinberg TTEE FBO D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04763 Steven L. West and Judith K. West, Co-Trustees of the Steven L. West and Judith K. West Joint Revocable Trust U/A DTD 12/18/07 Respondents Hearing Site: Boca Raton, Florida Newbridge Securities Corporation William David Isaacson James Patrick Shawver Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00400 Wells Fargo Advisors, LLC ("Claimant") vs. John Sork ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Donald R. Littlefield, Esq., Ballard & Littlefield, LLP, Houston, Texas For Respondents: Respondent did not appear NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 26. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("Note"). RELIE

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 09-05587 Merrill Lynch, Pierce, Fenner & Smith, Incorporated Respondent Hearing Site: San Juan, Puerto RIco Angel E. Aquino Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Claimant"): Julianne L. Peck, Esq. and Christopher S. Koller, Esq., Rubin, Fortunate