Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Joseph Heenan (Claimant) vs. Janney Montgomery Scott, LLC (Respondent) Case Number: 10-01953 Hearina Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Joseph Heenan, hereinafter referred to as "Claimant": Adam Green, Esq., Law Office of Adam Green, Philadelphia, PA. Respondent Janney Montgomery Scott, LLC, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Garmont (Claimant) vs. Gleacher & Company, Inc. a/k/a BroadPoint Gleacher Securities Group.. Inc. f/k/a BroadPoint Securities Group., Inc. f/k/a First Albany Companies, Inc.. and Gleacher & Company Securities, Inc. f/k/a BroadPoint Capital, Inc. f/k/a First Albany Capital, Inc. f/k/a First Albany Corporation, Inc. (Respondents) Case Number: 10-01743 Hearing Site: New York, New

Award FiNRA Dispute Resolution In the Matter of the Arbitration BebA/een: Yasir Sabri (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-01121 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Yasir Sabri, hereinafter referred to as "Claimant": Michael C. Deutsch, Esq., Singer Deutsch LLP, New York, NY. Respondent Citigroup Global Markets, Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alaina Spilkevitz (Claimant) v. Marie Gange, Egidio DiPietro, Luanne DiPietro, Margaret Lindner, Irene Rosen, and Chase Investment Services Corp. (Respondents) Case Number: 08-04039 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers and Member. REPRESENTATION OF PARTIES Claimant Alaina Spilkevitz, hereinafter referred to as "Claimant": Michael C.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois Grumet (Claimant) vs. Citigroup Global Markets, Inc., and Gary A. Schwarcz (Respondents) Case Number: 09-07044 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lois Grumet, hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondent Citigroup Global Markets, Inc

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04844 Securities America, Inc. (Claimant) vs. Sean M. O'Brien (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent appeared pro se, Andover, MA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 22, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissorClaim Daty a note.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05259 UBS Financial Services Inc. (Claimant) vs. Tom W. Krag (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. For Respondent appeared Kline Preston, Esq., Kline Preston Law Group, Nashville, TN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 18, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pasquale W. Croce, Jr. and Diane Croce (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 10-00361 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Pasquale W. Croce, Jr. ("P. Croce") and Diane Croce ("D. Croce"), hereinafter collectiv

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04454 Edward F. Murray, Jr. (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Julie W. Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 1, 2010 CASE SUMMARY: Claimant asserted the fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brook Payner (Claimant) vs. Natixis North America, Inc., Natixis Securities North America, Inc., and Natixis Capital Markets, Inc. (Respondents) Case Number: 09-04936 Hearina Site: New York, New Yorie Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Brook Payner, hereinafter referred to as "Claimant": Donald H. Chase, Esq.,