Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC (Claimant) vs. Robert J. Lenihan (Respondent) Case Number: 09-06718 Hearing Site: New Yoric, New Yorit Nature of the Dispute: Memt>ervs. Associated Person. REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors. LLC, hereinafter referred to as "ClaimanT: Brady J. Hermann, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC v. FranIc Joseph Polsinello a/kia Joseph Frank Polsinello Case Number: 09-06602 Hearino Site: Albany, New Yori( Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott LLC, hereinafter refenred to as "Claimant": Jill B. Clarke, Esq., Janney Montgomery Scott LLC, Philadelphia, PA. Respondent F

Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Stew and Susan Bird, individually and on behalf of their joint account, and Susan Bird on behalf of her individual Retirement Account (Claimante) vs. Sanfbrd C. Bemstein & Co., LLC, Alliance Bemstein, L.P., Bemstein Global Wealth Management, and Kevin O'Leary (Respondente) Case Number: og-01482 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Members

Award FINRA Dlsputo Resolution In the Matter of the Arbitration Between: Alvin H. Shrago (Claimant) vs. Deuteche Bank Securities, inc. (Respondent) Case Number: 09-00770 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Alvin H. Shrago ("Claimant"): Christine A. Palmieri, Esq., Liddie & Robinson. LLP.. New York. NY. Respondent Deuteche Bank ("Respondent"): Jill L Rosenberg, Esq..

Award FINRA Dtoputo Resolution In ttw Matter of the Ari^ttratlon Between: Namea of ttw Ctoimante Qa^ NM^ft^r, 09^3231 George Frederidc Verdone, Jr. Waitom Baker Wynn, Jr. Samuel Boyce RanKin George Maaon Rankin Clayton Christopher Scholand Nama of ttie Respondent Hearino Stte: Chartotte, Nortti CaroHna Cttigroup Gtobal Mariceto, Inc. Natore of the Disputo: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Frederic

Award FINRA Dtoputo Reeolution In ttie Matter of the Arbttratton Between: N^me of ttia Claimant Case Numban 09-02380 Joel M. Rappoport Names of ttie Respondente Hearino SHa: Oriando, Ftorida Banc of America Investment Services Tim rnmottiy] Monahan ftatore of the Diepute: Customer vs. Member and Assoctoted Person. REPRESENTATION OF PARTIES For Joel M. Rappoport, hereinafter refened to as "Ctoimant": Charies L. Stambaugh, Esq.. Stambaugh &

Award FINRA Diaputo Raaoitition In ttie Matter of ttia Arbitration Between: Nama off ttie Ctelmant Case Number 09-01573 Morgan Keegan & Company Inc. Name off ttie Raaoondent Hearing Site: Oriando, Ftorida Paul Peter Kotoa Nature off the Dtoputo: Member ve. Aeeoctoted Person. qePPBSEMTATON OF PABTIES Fbr Morgan Keegan & Company Inc., hetetoaftor retorred to ae "Ctoimanf: CoHeen M. Fitzgerald, Eeq., Gray^Roblnson, Tampa, Ftorida. Fbr Paul P

StIputoted Award FINRA Dtoputo Reeolutlon to ttw Matter of ttw Art)ttratfon Between: Ctoimant Banc of America Inveebnent Servioee, Inc. RWPOTtoH Marie R. Emberton Caee Number 0frO3507 Hearino SHe: Phoenix. Arizona Nature of ttw Dteputo: Member ve.Aseoclated Person Ctatownt, Banc of America Inveebnent Seraicee, Ina. hereinafler referred to ae "Claimanr or 'BAr: Dtane C. Ftecher, Eaq.. RonaU P. Kane. Eaq., and Paul T. CahiV. Eaq., Kane & Fieche

Awaitf FHiRA Dteputo Reeobilloii to the Matter of ttie AriMtrafion BelweaiK Roberta Furst Inveetor Clout an Arizona Partnerahlp CaieNumhef. 104)0624 Hearing ate: Phoanbc, Artaona Mortgagee LM. Securittee, I^LC. Nature of ttie Dtepute: Aaaoctoted Pereon and Non-Member va,lilember BBPRBBIITAIIONOFPARUM Ctotoiants. Robert O. FUrat fFurer) and tovestor Clout, an Arleona Partnership ftoveetor Ctoutl,herelnaltor refened to ae "Ctoimanto"^ Robert O.Rjra

Award FINRA Diepute Reeolutton In the Matter of the Aibitration Between: Claimant £aS&Mjm!2SQ 08-02674 Lany J. Osborne Respondente Hearing Site: Phoenix, Arizona Chase Investment Services Corp. Steven Campbell Counter-Cteimants Chase Investment Sen/ices Corp. Steven Campbell Counter-Respondent Lany J. Osborne Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated Person vs. Member