Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Henry Fred Hanau and HFH Planning, Inc.. (Claimants) vs. TD Ameritrade. inc. (Respondent) Case Number: 09-05967 Hearino Site: New York. New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante Henry Fred Hanau ("Hanau") and HFH Planning Inc. ("HFH"), hereinafter referred to as "Claimante": Henry Fred Hanau, HFH Planning, Inc., New Yori^. NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sandy Lemer (Claimant) vs. Sanford C. Bemstein & Co., LLC (Respondent) Case Number 09-01011 Hearing Site: New York, New Yori^ Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Sandy Lemer hereinafter refenBd to as "Claimant": Louis F. Burke, Esq.. Louis F. Burke, P.C, New Yoric, NY. Respondent Sanford C. Bemstein & Co., LLC hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Rosenow 1 Limited Partnership (Claimant) vs. Citigroup Global Markete, Inc. (Respondent) Case Number: 08-02649 Hearino Site: New Yori(, New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Rosenow 1 Limited Partoership ("Claimant"): Neil B. Solomon. Esq., Neil B. Solomon. P.A., Jupiter, FL. Respondent Citigroup Global Markete, Inc. ("Resp

Award FINRA Dispute Resolution In the Matter of the Ari>ltration Between: Rodman & Renshaw, LLC, John Borer, Edward Rubin, Michael Vasinkevich, and Wesley K. Claris (Claimants) vs. Matthew N. Murray (Respondent) Case Number: 06-04643 Hearino Site: New Yori^, New Yori< Nature of the Dispute: Member and Associated Persons vs. Associated Person. REPRESENTATION OF PARTIES Claimants Rodman & Renshaw, LLC ("Rodman"), John Borer ("Borer^), Edward Rubin ("Ru

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Alvin Trenk (Claimant) vs. Oppenheimer & Co., Inc. (Respondent) Case Number: 09-01760 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alvin Trenk hereinafter referred to as "Claimant": Mrtchell Maricowitz, SMRC, inc., Brooklyn, NY. Respondent Oppenheimer & Co., Inc., hereinafter referred to as "Respondent": Peter

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00061 Meniii Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. James M. Tatlow (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher C. Young. Esq., Rubin. Fortunato & Harbison, PC, Paoli. PA. For Respondent appeared William J. Galbally, Esq.. Galbally 1-aw Offices, Plymouth Meeting, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 5. 2010 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciaimants Case Numt?er: 09-04900 Alvin Kiing and Pearl Kling, individually and as trustees of the Ahnn Kling Revocable Trust U/A 9/1/93 and the Howard Gary Kling Revocable Trust Name of the Respondent Hearino Site: Boca Raton, Florida Sanfbrd C. Bernstein & Co., LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Alvin Kling

Award FINRA Dtopute Reeoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03559 Teresite Cintron Names of the Resoondente Hearing Site: San Juan, Puerto Rico BBVA Securities of PR, Inc. Jeffirey Lopez Sonla Mart>arak Ruben C. Fernandez Nature of the Dispute: Customer vs. Member and Assodated Person. REPRESENTATION OF PARTIES For Teresite Cintron, hereinafter referred to as "Claimanf: Marie Elste l^p

Stipulatsd Award FINRA DIeputo Reeoiutlon In the Matter of the Arbitratran Between: Name of the Claimant Case Number: 09^5358 Marie Davkl Kaufman Name of file Respondent Hearing Site: Boca Raton, Florida vFlnance investmente, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marie David Kaufifnan, hereinafter refened to as "Claimant": Alan J. Foxman, Esq.. The Law Offtee of Alan J. Foxman, Esq., Boca Rato

Award FINRA DtoptitB Rmoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-04498 James W. Knell Patricia A. Knell James W. Knell Trust Pat Knell Trust Name of the Respondent Hearing Site: Baltimore, Maryland Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For James W. Knell ("J. Knell"). Patricia A. Knell < T. Knell"). James W. Knell Trust fJ.