Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Vandeventer (Claimant) v. Legg Mason Investor Services, LLC and Clearbridge Advisors, LLC (Respondents) Case Number: 09-05533 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas R. Vandeventer hereinafter to as "Claimant": James A. Bradley, Esq., Ackerman Levine Cullen Brickman &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carolyn E. Smith (Claimant) vs. Wells Fargo Advisors, LLC and Viviana Santiago (Respondents) Case Number: 09-06534 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Carolyn E. Smith hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Securities Arbitration Clinic, Hofstra School of Law, He

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01250 Samuel L. Tibbs (Claimant) vs. Interactive Brokers LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Greenville, NC. For Respondent appeared Jeffrey D. Fox, Esq., Interactive Brokers LLC, Washington, DC. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 12, 2010 CASE SUMMARY: Claimant alleged that Respondent sold an illiquid position to rebuild a deficit, which resulted in high c

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: 414 LLC and 515 LLC (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-05154 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants 414 LLC and 515 LLC, hereinafter collectively referred to as "Claimants": Michael M. Steinmetz, Esq., and Chris Fladgate, Esq., Garson, Segal, Steinmetz

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Josephine Pignato (Claimant) vs. Capital One Investments Services Corp. f/k/a North Fork Investment Services LLC (Respondent) Case Number: 09-03015 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Josephine Pignato ("Claimant"): Jenice L. Malecki, Esq., Malecki Law, New York, NY. Respondent Capital One Investment

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02040 Wells Fargo Advisors, LLC (Claimant) vs. Cheryl Cox (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Signal Mountain, TN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 30, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Clai

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Barney, LLC vs. Case Number: 10-02212 Hearing Site: Louisville, Kentucky Name of Respondent Christian E. Erickson NATMR5QFTH6PigPVTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant" or "MSSB") was represented by Lauren R. Fox, Esq., Alonso, Andalkar & Kahn, PC, New York, New

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02545 Michael L. Landreth (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared Avital Stadler, Esq., Sutherland Asbill & Brennan LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 27, 2010 CASE SUMMARY.- Claimant asserted the follow

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05075 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida James Grant Morse, IV Nature of the Dispute: Member vs. Associated Person. REPRESENTATIOi^ OF PARTIES For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Ross Carmel, Esq., Alonso, Adalkar & Kahn, P.C, New York, New Yor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony E. Cronin, Matthew J. Hand, and Dusan Nogulovic (Claimants) vs. Dresdner Kleinwort Securities LLC (Respondent) Case Number: 09-04668 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Anthony E. Cronin ("Cronin"), Matthew J. Hand ("Hand"), and Dusan Nogulovic ("Nogulovic"), hereinafter collectively r