Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Numt)er: 10-03798 First Allied Securities, Inc. Respondent Hearing Site: San Diego, California Humbert A. Michini, III Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, First Allied Securities, Inc.. hereinafter referred to as "Claimant": Anne Yannakakis, Esq., First Allied Securities, Inc., San Diego, California. Respon

Award FINRA Dispute Resolution in the Matter of the AriDitration Between: Judith Meizer Individually and as Executrix of the Estate of Shepherd W. Meizer (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Inc. and Nancy Matta (Respondents) Case Number: 09-06264 Hearing Site: New York, New Yoric Nature of the Dispute: Customers vs. Member and /Associated Person REPRESENTATION OF PARTIES Claimants Judith Meizer ("J. Meizer") INndivlduaiiy and as Exec

AWARD FINRA DISPUTE RESOLUTION CASE Number: 11-01010 UBS Financial Services (Claimarit) vs. Alfred Nittoli (Respondent) REPRESENTATION OF PARTIES: For Claimant: Anthony J. Borrelli, Esq., Riker, Danzig, Scherer. Hyland & Perretti LLP, Morristown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: March 9, 2011. CASE SUMMARY: Claimant asserted the following causes of action: breach

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00102 NEXT Financial Group, Inc. (Claimant) vs. Randall Simpson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Owen P. McGill, Esq., Shumaker, Loop & Kendrick, LLP, Tampa, FL. Respondent appeared pro se, Swansboro, NC. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 7. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Claim Data Awa

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Incorporated vs. Case Number: 10-01340 Hearing Site: Dallas, Texas Name of Respondent John Bauer NATURE OF THE DISPUTE Non-Member and Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch International Finance, Incorporated and Merrill Lyn

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00502 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Peter Rhee (Respondent) REPRESENTATION OF PARTIES: For Claimant: Christopher S. Griesmeyer, Esq., Greiman, Rome, & Griesmeyer, LLC, Chicago, Illinois Respondent appeared pro se NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 3, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00970 Ameriprise Financial Services, Inc. (Claimant) vs. Michael G. Hegyan, Jr. (Respondent) REPRESENTATION OF PARTIES: For Claimant: Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, Illinois. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 4, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. The ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01450 Judith A. Malone Name of Respondent Hearing Site: Los Angeles, California Fidelity Brokerage Services LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Judith A. Malone, hereinafter referred to as "Malone" or "Claimant": Russ E. Boitz, Esq., Law Offices of Russ E. Boltz, Laguna Beach, California. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Capital Markets Corporation (Claimant) vs. Marie Levine (Respondent) Case Number: 10-04301 Hearing Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant RBC Capital Markets LLC, hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss & Early, LLP, New York, NY. Respondent Mark Nomnan Levine, hereinafte

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Sen/ices, Inc. vs. Case Number: 10-01371 Hearing Site: Detroit, Michigan Names of Respondents William Hunter Brennan and Shane Gavin Springman NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES UBS Financial Sen/ices, Inc. ("Claimant") was represented by Brian S. Hormozi, Esq., Schuyler, Roche & Crisham