Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant William Mcllroy Case Number: 09-05426 vs. Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant William Mcllroy, hereinafter referred to as "Claimant": Adam J. Gana, Esq., Napoli Bern Ripka LLP, New York, NY. Respondent Merrill Lynch Pierce Fe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03334 Alphonse M. Lucchese vs. Respondents Hearing Site: Boston, Massachusetts Citi Smith Barney Citigroup Global Markets, Inc. Robert Joseph Malenfant Alfred George Weaver Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant Alphonse M. Lucchese, hereinafter referred to as "Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lehman Brothers Holdings Inc., as assignee of Lehman Brothers, Inc. (Claimant) vs. William Cert (Respondent) Case Number: 10-01868 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Lehman Brothers Holdings Inc., as assignee of Lehman Brothers, Inc., hereinafter referred to as "Claimant": Neil A. Sussman, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-05019 Dalila Costa-Leroy vs. Respondent Hearing Site: New York, New York UBS Financial Services Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Dalila Costa-Leroy, hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent UBS F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: « Claimant Case Number: 10-02321 Hernian Leo Steinberg, Trustee of the Lillian Valinsky Revocable Trust, Dated 12/17/97 Respondents Hearing Site: Boca Raton, Florida Prime Capital Services, Inc. Oilman Ciocia, Inc. Asset & Financial Planning, Ltd., Inc. Michael P. Ryan Rose M. Rudden Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Jerry Douglas vs. Respondents Ameriprise Financial Services, Inc. Ameriprise Financial, Inc. Ameriprise Trust Company Case Number: 10-03580 Hearing Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Member and Non-Members REPRESENTATION OF PARTIES Claimant Jerry Douglas, hereinafter referred to as "Claimant": R. Allen Kilgore, Esq., Kil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03083 Joan P. Schultz Respondents Hearing Site: Orlando, Florida Daniel Deighan Deighan Financial Advisors, Inc. Boogie Investment Group, Inc. Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Associated Person, Non-Member and Members REPRESENTATION OF PARTIES Claimant Joan P. Schultz: Allan P. Whitehead, Esq., Frese, Hansen, Ande

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04102 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers, Inc. Respondent Hearing Site: Atlanta. Georgia Kenneth Wingerter Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc., hereinafter referred to as "Claimant": Victor A. Machcinski, Jr.

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: AXA Advisors, L.L.C. vs. Richard Klukkert Case Number: 11-00902 SITUS: Columbia, South Carolina NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES For AXA Advisors, L.L.C, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C, Cranford, New Jersey. Richard Klukkert, hereinafter referred to as "Respondent," did not appe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent David Jeffrey Herman ResDondent/Counter-Claimant Mosaic Capital Securities, LLC Case Number: 10-04059 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Claimant/Counter-Respondent, David Jeffrey Herman, hereinafter referred to as "Claimant": L