AWARD FINRA DISPUTE RESOLUTION CASE: 10-02373 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Jonathan DeJulio (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory S. Tendnch, Esq., Gregory Tendrich, P.A., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 16, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD Award: $15,467.61 Pre and Post-judgment Interest: $0.00 Attorneys' Fees: $0.00 Costs: $0.00 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 of $15,467.61. 2) Claimant's request for interest is denied. 3) Claimant's request for attorneys' fees is denied. 4) All other r

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02038 Maxim Group LLC (Claimant) vs. Ryan Aldridge (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher G. Massey, Esq., Maxim Group LLC, New York, NY. Respondent appeared pro se. New York, NY. NATURDATE FILEDE OF : DISPUTEMay 3, 201 : Membe0 r v. Associated Person CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, specific perfor

AWARD FINRA DISPUTE RESOLUTION CASE: 10.-02013 Wells Fargo Advisors, LLC (Claimant) vs. Mark Lee (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Oscar Schachter, Esq., Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreemen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James E. Harrington (Claimant) vs. Securities America, Inc. (Respondent) Case Number: 10-01909 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant James E. Harrington ("Claimant") appeared pro se. Respondent Securities America, Inc. ("Respondent"): Kelly R. Davis, Esq., Securities America, Inc., Lavista, NE. CASE IN

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01682 Lyons & Associates, a partnership and Allan S. Lyons (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Allan S. Lyons, Palm Beach Gardens, FL. For Respondent appeared Meredith Faro, Esq., Fidelity Investment Institutional Services, Boston, MA. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 12, 2010 CASE SUMMARY: Claimants asserted

Award FiNRA Dispute Resolution in the Matter of the Arbitration Between: IVIiriam Selsky (Claimant) vs. HSBC Securities (USA) Inc. and Michael Valnotti (Respondents) Case Number: 10-01550 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Miriam Selsky hereinafter referred to as "Claimant": Robert Rabinowitz, Esq., Becker & Poliakoff, LLP, Red Bank, NJ. Respondents

Award HNRA Dispute Resolution In the Matter of the Arisltratlon Between: Claimants Case Number 08-02047 Hasong J. Pak and Jinyung Pak as Joint Tenants with Right of Survivorship Hasong J. Pak, as Attomey in Fact for Rtehard Ng Respondents Hearing Site: Portland. Oregon Paulson Investment Company, Inc. Jung Han Kim, a.k.a. "Jay Kim" Vision Securities Inc. GlobalVest Group, Inc. n/k/a GLB Trading Cross-Claimants Vision Securitie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Craig Rappaport (Respondent) Case Number: 09-06136 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": William E. Mahoney, Jr., Esq. and Amy Sparrow, Esq., Stradley, Ronan, Stevens & Young, Philadelphia

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Monty D. Yokel, as Trustee of the Yokel Charitable Lead Annuity Trust and as Trustee of the Robert B. Yokel Charitable Lead Trust, and Ken Yokel (Claimants) vs. J.J.B. Hilliard, W.L. Lyons, LLC, and David Stanley Shelton (Respondents) vs. SunTrust Bank, Inc. and SunTrust Investment Services, Inc. (Third Party Respondents) Case Number: 09-04937 SITUS: New York, New York NATURE OF DIS