Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Robert C. Young (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Charles Steven Teixeira, and John Matthew Loughran (Respondents) Case Number: 08-01911 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Robert C. Young hereinafter referred to as "Claimant" appeared pro se. Respondents M

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Zvi Ostenveil (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Citigroup Global Markets, Inc. (Respondents) Case Number: 08-02775 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Zvi Ostenveil hereinafter referred to as "Claimant": Rebecca C. Davis, Esq., Davis & Griffey, Celebration, FL. Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ann Lemer (Claimant) vs. Bear Stearns & Co., Inc. (Respondent) Case Number: 08-04436 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ann Lerner hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants Inc., Brooklyn, NY. Respondent Bear Stearns & Co., Inc., hereinafter referred to as

stipulated Award FINRA Dispute Resolution In the Matter of the Arisltratkan Between: Name of the Claimant Cs^ae Number 08-04279 Samuel Ptesser Names of the Respondents Hearing Site: Boca Raton, Florida SunTrust Investment Services, inc. Jason H. Lalng Nature of the Dispute: Customer vs. Member and Associated Person. ftgPRESEMTATIQM QF PABTIgft For Samuel Plesser, hereinafter referred to as '^iaimar^: Lee H. Schilllnger, Esq., Law Office o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Apostolos N. Pitsironis (Respondent) Case Number: 09-00153 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Dennis N. Lueck, Jr., Esq., Stradley Ronon Stevens & Young. LLP. Philadelphia, PA. Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TD Ameritrade, Inc. vs. Name of Respondent Robert Lieblang Case Number: 09-01876 Hearing Site: Chicago, Illinois Member vs. Customer TD Ameritrade, Inc. ("Claimant") was represented by R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue. Nebraska Robert Lieblang ("Respondent") did not appear. The Statement of Claim was filed on or about Apri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Scottrade, Inc. vs. Name of Respondent / Counter-Claimant Elisei Chereji Case Number: 08-03607 Hearing Site: St. Louis, Missouri Member vs. Customer Scottrade, Inc. ("Claimant" or "Scottrade") was represented by Thomas L. Azar, Esq., Thompson Coburn, LLP, St. Louis, Missouri. Elisei Chereji ("Respondent" or "Chereji") appeared pr

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents Gregory E. Mantor and Mantor Watson Securities, Inc. n/l^a Ascension Financial Solutions. Inc. vs. Case Number: 07-03406 Hearing Site: Columbus, Ohio Names of Respondents / Counter-Claimants Heartland Holding Company, Inc. and Kenneth G. Mueller NATURE OF THE PISPUTE Associated Person and Terminated Member vs. Non-M

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01250 Robert Dillon and Nancy Dillon (Claimants) vs. Bank of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Scott M. Dimond, Esq., Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent appeared Barton Wayne Cox, Esq., Fulbright & Jaworski. LLP, Dallas, TX. NATURE OF DISPUTE; Customers v. Member DATE FILED: March 6. 2009 CASE SUMMARY: Claimants asse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jennifer A. McNulty (Claimant) vs. TO Ameritrade, Inc. (Respondent) Case Number: 08-04299 Hearing Site: Newari^. New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Jennifer A. McNulty hereinafter refered to as "Claimant": Robert A. Vallone, Princeton. NJ. Respondent TD Ameritrade, inc., hereinafter referred to as "Respondent": James J. V