Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard K. Lublin as Trustee of the Richard K. Lublin and Jane E. Lublin Revocable Trusts (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Geoffrey H. Karp (Respondents) Case Number: 10-01951 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Richard K. Lublin as Trustee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Walter Sherman (Claimant) vs. Bryn Mawr Securities Corp., Donald D. White, George Bevins, and Patrick McDonnell (Respondents) Case Number: 05-00015 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Walter Sherman, hereinafter referred to as "Claimant": Christopher B. Jones, Esq., Law Offices of C

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05582 United Planners' Financial Services of America, a Limited Partnership (Claimant) vs. Richard J. Philipp (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 13, 2010 CASE SUMMARY: Claimant asserted th

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04827 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Matthew Burnham (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kate S. Arduini, Esq., Rubin, Fortunato & Harbison, P.C., Paoii, PA. Respondent appeared pro se, Akron, OH. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 26. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of co

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-05139 Empire Asset Management Company (Claimant) vs. Nicholas C. Dito (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Anthony G. Mango, Esq., Mango & lacoviello, LLP, New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 11. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissor

Award FINRA DIsputa Resolution In the Matter of the Arbitration Behveen: Fred Dinkin and Carol J. McKlnnon (Claimants) v. Morgan Keegan & Company, Inc. (Respondent) Case Number 09-05049 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Fred Dinkin ("Dinkin") and Carol J. McKlnnon ("McKinnon"), hereinafter collecth/ely referred to as "Claimants": Howard B. Prossnltz, Esq., Law Offi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vito Vitone (Claimant) vs. Kevin J. Beauiieu, Richard P. Beaulieu, Jr., Ian Scott Gerrior, and Signator Investors, Inc. (Respondents) Case Number: 09-01276 Hearing Site: Providence, Rhode Island Nature of the Dispute: Associated Person vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Vito Vitone, hereinafter referred to as "Claimant": William M. Kolb, Esq., Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon P. Spitz, Olivia Spitz and Sharyn Spitz, as Trustees of the Spitz Family Partnership L.P. (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 08-03810 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant the Spitz Family Partnership L.P., Sheldon P. Spitz, Olivia Spitz and Sharyn Spitz, as Trustees,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05162 James Quincy Steigelman, IRA (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bloomfield Hills, Ml. For Respondent appeared Courtney R. Reid, Esq., Ameriprise Financial, Inc., Minneapolis, MN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 9, 2010 CASE SUMMARY: Claimant alleged that he incurred damages when his stop order

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 10-01881 Hearing Site: Houston, Texas Name of Respondent Stephen C. Long NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATIQM OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant") was represented by Edward G. Winsman, Esq. and Jason E. Murtagh, Esq., Rubin, Fo