Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold Weinberg and Lenore Weinberg (Claimants) vs. Janney Montgomery Scott, Inc. and Bernard Snyder (Respondents) Case Number: 10-01584 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harold Weinberg ("H. Weinberg") and Lenore Weinberg ("L. Weinberg"), hereinafter collectively referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patrick Zilkha (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Steven LaBanca, Ted Candella, and Weiskopf, Silver Equities, Inc. (Respondents) Case Number: 09-02178 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimant Patrick Zilkha, hereinafter referred to as "Claimant": Paul A.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05118 Dawson James Securities, Inc. (Claimant) vs. Steven Lawrence Sadicario (Respondent) REPRESENTATION OF PARTIES: ~" ~~ " For Claimant appeared Albert J. Poliak, Dawson James Securities, Inc., Boca Raton, FL. Respondent appeared pro se, Coral Springs, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Beh/veen: Name of Claimants Case Number: 11-00109 Menill Lynch International Finance, Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Denver, Colorado Kristi Lenderman Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants, Merrill Lynch International Finance, Incorporated ("MLIFI"

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00017 Securities America, Inc. (Claimant) vs. Harold Francis Martek (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent appeared pro se, Stuart, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: December 30, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Claim D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Paul DePalma (Claimant) vs. Weston International Capital Markets LLC and John Richard Liegey (Respondents) Case Number: 10-05253 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Daniel Paul DePalma, hereinafter referred to as "Claimant" appeared pro se. Respondents Weston Internati

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alburnie Wright (Claimant) v. Bart S. Kaplow and Bobby F. Myerson (Respondents) Case Number: 10-02412 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Alburnie Wright, hereinafter referred to as "Claimant": Richard B. Fosher, Esq., Oakes & Fosher, LLC, St. Louis, Mo. Respondent Bart S. Kaplow ("Kap

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alan M. Kovner, Joshua A. Kovner Trustee FBO Alan Kovner Irrevocable Trust U/A/D 11/28/06, Alan M. Kovner CGM \RA Custodian, Alan M. Kovner ACF Joshua A. Kovner U/NY/UTMA, and Alan M. Kovner, Scholars Choice FBO Joshua A. Kovner (Claimants) vs. Smith Barney, Inc., Citigroup Global Markets, Inc., Richard P. Altieri, William Samuel Calabretta, Steven C. Sapirstein, and Virginia Mae Wasser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Bird (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 09-06258 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Michael Bird, hereinafter referred to as "Claimant": Charies A. Stewart, III, Esq., New York, NY. Respondent UBS Securities LLC, hereinafter referred to as "Respondent": Kenneth Ke

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deutsche Bank Securities Inc. (Claimant) vs. Martin Joseph Joyce (Respondent) Case Number: 10-03549 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Deutsche Bank Securities Inc., hereinafter referred to as "Claimant": Andrew T. Solomon, Esq., and Gretchen S. Silver, Esq., Sullivan & Worcester LLP.