Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 1Q-Q3475 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Boca Raton, Florida Donn Sanders Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Jill B. Clarke, Esq., Janney Montgomery Scott LLC, Philadelphia, Pennsylvania.

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the AriDltratlon Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number 10-02310 Hearing Site: Chicago, Illinois Name of Respondent Thomas C. Aylmer NATURE QF THE PI8PUTE Member vs. Associated Person REPRESENTATION QF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Ernest W. Irons. Esq., Schuyler Roche Crisham, PC, Chicago, Illinois. Th

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond James & Associates, Inc. (Claimant) v. Jonathan Valk (Respondent) Case Number 10-03054 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc., hereinafter referred to as "Clainnant": Kelli Bulllngton, Esq., Raymond James & Associates, Inc., St. Petersburg, FL. Respondent Jo

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry D. Ostberg (Claimant) vs. Citigroup Global Markets Inc. (Respondent) Case Number 09-03306 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Henry D. Ostberg, hereinafter referred to as "Claimant": Seth Lipner Esq., Deutsch & Lipner Garden City, NY. Respondent Citigroup Global Markets Inc.. hereinafter re

AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Boushy North Investments, Ltd. vs. Case Number 09-05503 Hearing Site: Houston, Texas Name of Respondent Penson Financial Services, Inc. and Name of Third-Party Claimant Penson Financial Services, Inc. vs. Names of Third-Party Respondents Second Mile Wealth Management, Inc. and Thomas Cooper NATURE OF THE DISPUTE Customer vs. Memb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-01566 Frank Rodriguez Susan Rodriguez, individually and on behalf of Frank Rodriguez, Alexandra Rodriguez and Andrew Rodriguez, minors Jay and Phyllis Drossman Henry Talerico III Julie Talerico, individually and'on behalf of James Talerico and Andrew Talerico, minors Carmen Strolla Names of the Respondents Hearing Site: B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01081 Marivi Rodriguez Respondent Hearing Site: Miami, FL Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marivi Rodriguez, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, FL. For Citigroup Global Markets, Inc. (Citigroup), h

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04643 Janbaz Sidiqi (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Irvine, CA. For Respondent appeared John Erikson, Esq., Los Angeles, CA and Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 17, 2010 CASE SUMMARY: Claimant alleged that Respondent's mismanagement of his account resulted in

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03733 Joan R. Grootemaat (Claimant) vs. Morgan Stanley Smith Barney, Owen H. Dugan, Jr., Corinne Moccia-Cunha and Citigroup Global Markets, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Windsor, Wl. For Respondents appeared Harper Robinson, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer vs. Members and Associated Persons DATE FILED: August 17, 2010 CAS

AWARD Award Data Award: $20,322.14 Interest: at the rate of four percent (4%) per annum from December 6, 2010 until payment of the Award Attorneys' Fees: $0.00 Costs: $525.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages in the amount of $22,322.14. 2) Res