Award FINRA Dteputo Reaolutlon In tiie Matter of the Arbitration Between: Name of the Cteimant Case Number 09-02444 Jamte N. Htees Namea of tfie Respondento Hearing Site: Cteanwater, Florida Tax Shelter America, Inc. Ronaki J. Gtovino, Jr. Money Conoepto Capitol Corporation Global Worid Networic Securities. Inc. Natora of the Disputo: Associated Person vs. Non-Member, Associated Person and Member. REPRESENTATION OF PARTIES For Jam

Awnrd FINRA DIaputo Reaolutlon In ttie Matter of the Arbitration Between: Names of ttie Clahnante QgW NumlWP 09^372 AmsalWoreta AMogBirara Names of ttie Respondento Hearing Site: Baltimore. Marytend ETradeSecuritteaLLC Marcelo Mteno Natora of ttie DIaputo: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Amsal Woreto (n/Vorato") and Aktog Birara ("Birara"), hereinafter coitecttvely refened to as "^imante,' appeared

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01743 Wachovia Securities, LLC Respondent Hearing Site: [Denver, Colorado Alan R. Coriiss Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf or 'Wachovia": Timothy N. Will. Esq.. Albert & Will, LLP, Tonance, Califomia. Respondent, Alan R. Corii

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01873 Ronald E. Morenz Respondent Hearing Site: Phoenix, Arizona Ameriprise Financial Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Ronald E. Morenz, hereinafter refenBd to as "Claimant": David Neuman, Esq.. Stoltmann Law Offices, P.C.. Chicago, Illinois. Respondent, Ameriprise Financial Service

Award FINRA Diaputa Reaoiutlon In the Matter of the Arbitration Between: Claimant Caae Number 09-00722 White Pacific Securities, Inc. Respondent Hearing Site: San Francisco, California Sparten Securities Group, LTD. Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES Claimant, White Pacific Securities, Inc., hereinafter referred to as "Claimant": Patrick BaMwin, Esq. and Christopher Mader, Esq., Baldwin Law Group, Menio Paric,

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00408 Meniii Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: San Francisco, California Xin X. Li Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Julianne L. Peck, Esq., Rubi

stipulated Award FINRA Dispute Resolution In ttie Matter of the Arbitration Between: Manie of the Claimant (^se Number 08-04274 Joshua Lowe Name of the Reaoondent Hearing Site: Tamoa. Florida Banc of Ameiica Invesbnent Services, Inc., n/k/a Merrill Lynch. Pierce, Fenner & Smith incorporated Nature of the Dispute: Associated Psrson vs. Member. REPRESENTATION OF PARTIES For Joshua Lowe, hereinafter referred to as "Claimant": Ryon M. McCabe,

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Ronald C. Tirio, IRA and Colleen M. Tirio, IRA (Claimants) vs. Janney Montgomery Scott LLC (Respondent) Case Number 09-04003 Hearino Site: IHarttord, Connecticut Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Ronald C. Tirio. IRA ("R. Tirio") and Colleen M. Tirio, IRA ("C. Tirio"), hereinafter collectively refened to as "Claimante": Howard M. Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia Philips Stratta and Ettore Stratta (Claimants) vs. Citigroup Global Markets, Inc. and Andrew Wolff (Respondents) Case Number 09-02843 Hearing Site: New Yort^. New Yoric Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Patricia Philips Stratta (T. Stratta") and Ettore Stratta ("E. Stratta"). hereinafter collectively r

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06184 Andrew Garrett, Inc. (Claimant) vs. David W. Polifroni (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Revan R. Schwartz, Esq., Andrew Garrett, Inc.. New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 28,2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissory note. Claim