AWARD FINRA DISPUTE RESOLUTION CASE: 11-01670 Suzanne H. Nitzberg (Claimant) vs. Citigroup Global Markets. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Great Neck, NY. For Respondent appeared Ira G. Rosenstein, Esq., Morgan, Lewis & Bockius LLP, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 26. 2011 CASE SUMMARY: Claimant asserted the following cause of action: expungement. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01553 Paul Joseph Manelis (Claimant) vs. WJB Capital Group. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lake Forest, IL. For Respondent appeared Mark Skolnick, Esq., Platzer, Swergold, Kariin, Levine, Goldberg & Jaslow. LLP. New York. NY. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 18, 2011 CASE SUMMARY: Claimant alleged that Respondent owes him compensation

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01495 Raymond James & Associates, Inc. (Claimant) vs. Donald Lee Glover (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelli Bullington, Esq.. Raymond James & Associates. Inc.. St. Petersburg. FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 12. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04745 Anna McDwyer vs. Respondents Hearing Site: New York, New York Alternative Wealth Strategies, Inc. Edward Scro Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Anna McDwyer, hereinafter referred to as "Claimant": Curtis E. Pew, Esq., Hofstra Securities Arbitration Clinic, Hempstead, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Charies A. Cerone Case Number: 10-01073 vs. Respondents Banc of America Insurance Services Banc of America Investment Services Inc. Bank of America Merrill Lynch Pierce Fenner & Smith Inc. Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Charles A. Cerone, her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter F. Green (Claimant) vs. Cadaret Grant & Co., Inc. (Respondent) Case Number: 02-07501 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Peter F. Green, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Jeffrey L. Liddle. Esq.. Liddle & Robinson, L.L.P., New York, NY. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Case Number: 10-04107 Mark M. Kosker Respondent/Counter-Claimant Hearing Site: Los Angeles, California Interactive Brokers LLC Nature of the Disputes: Customer vs. Member Member vs. Customer REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Mark M. Kosker, hereinafter referred to as "Claimant" or "Dr. Kosker": Pro Se, Toluca Lake, Cali

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Allen D. Hyko TTEE of the Mary C, Gregory Trust U/A DTD 10/5/77 vs. Respondents William Austin Bailey Mutual Service Corporation Case Number: 10-03857 Hearing Site: Seattle, Washington Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Allen D. Hyko TTEE of the Mary C. Gregory Trust U/A DTD 10/5/77

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 10-05572 James Towery Respondents Hearing Site: Los Angeles, Califomia Prestige Financial Center, Inc. Elliot Sherer Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant James Towery, hereinafter referred to as "Claimant": G. Mark Brewer, Esq. Investment Recovery Counsel, San Diego, CA. Respondent Pr

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dan Carlyie vs. Case Number: 09-07068 Hearing Site: Dallas, Texas Name of Respondent Wells Fargo Advisors, LLC NATURE OF THE DISPUTE Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Dan Carlyie ("Claimant") was represented by Steven D. Toskes, Esq., Klayman & Toskes, PA, Boca Raton, Florida. We