Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 10-01168 Robert Craig Reynolds, individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 Susan H. Pitsch Reynolds, Individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 and as Trustee of the 403-B Plan FBO Susan H. Pitsch-Reynolds Name of the Respondent Hearinq Site: Los Angeles, California Sagepoint Financial

Award FINRA Dispute Resolution In the Matter of the Arii}itration Between: Name of Claimant Case Number: 10-04449 Menill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Los Angeles, Califomia Rodel Corriente Nature of Dispute: Member vs. Associated Pereon REPRESENTATION OF PARTIES Claimant, Menill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Olga Y. Wayne, Esq., Rubin Fortu

STIPULATED AWARD FINRA Diapute Reaolution In the Matter of the Aribitration Between: Alphonse J. Matt, Jr., individually and as Beneficiary of the Alphonse J. Matt, Jr. IRA Rollover vs. CaseNumber 08-04462 Hearing Site: Minneapolis, Minnesota Nam9?9f R9$PQn^9nt$ Charies Schwab & Co., and Kimon P. Daifotis NATURE QF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Alphonse J. Matt, Jr. individually and as

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Fox & Company Investments, Inc. vs. CaseNumber: 08-05026 Hearing Site: Dallas, Texas Names of Respondents Milkie/Ferguson Investments, Inc.. John Edward Shryack, and Steven Alan Gundy NATURB QF THE PISPMTE Member vs. Member and Associated Persons REPRESENTATIQN QF PARTIES Fox & Company Investments. Inc. ("Claimant" or "Fox") was represented b

Award FINRA Dispute Resolution In the Matter of tine Arbitration Between: Name of the Claimant Case Number: 09-02448 Dr. Jerry Stiffel Names of the Respondents Hearina Site: Boca Raton, Florida Bluechip Securities, Inc. Muhammad Khan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Dr. Jerry Stiffel, iiereinafter referred to as "Claimant" appeared pro se. For Respondent Bluechip Securities, Inc.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03784 Citigroup Global Markets Inc. (Claimant) vs. Michael J. Mildon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeremy M. Joseph, Esq., Keesal, Young & Logan, Long Beach, CA and Eleonora Grinshteyn, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent appeared pro se, Santa Clarita, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 18, 2010 CASE SUMMARY: Claimant a

AWARD Award Data Award: $995.00 Interest: at the rate of five percent (5%) per annum from August 14, 2009 until the Award is paid Costs: $0.00 Costs: $375.00 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 of $995.00. 2) Respondent is liable for and shall pay to Claimant interes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John D. Bartolomeo (Claimant) vs. Christopher Fenton and M&T Securities, Inc. (Respondents) Case Number: 10-00883 Hearina Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant John D. Bartolomeo, hereinafter referred to as "Claimant": John Dear, Esq., Dear Rieck Kaley & Mack, New York, NY. Respondents Chris

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Vincent Goodman vs. Name of Respondent Steven Udelson CaseNumber: 09-07273 Hearing Site: Cleveland, Ohio NATURE QF THE Associated Person v. Customer REPRESENTATION QF PARTIES John Vincent Goodman ("Claimant") was represented by Brett S. Krantz, Esq.. Kohmnan Jackson & Krantz, PLL, Cleveland, Ohio. Steven Udelson ("Respondent") appeared p

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Thomas D. Whalen (Claimant) vs. Barclays Capital Inc. and Barclays Bank PLC (Respondents) Case Number. 09-03587 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas D. Whalen ("Claimant"): Laurence S. Moy, Esq., Outten & Golden, LLP. New York. NY. Respondent Barclays Capital Inc. ("Res