Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Eugene C. Coiucci (Claimant) vs. HSBC Securities (USA) Inc. (Respondent) Case Number: 10-02791 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Eugene C. Coiucci, hereinafter referred to as "Claimanf: Donald G. McGrath, Esq., Attomey at Law, Williamsville, NY. Respondent HSBC Securities (USA) Inc., hereinafter referre

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diane M. LeBoeuf (Claimant) vs. Men-ill Lynch, Pierce, Fenner & Smith, Inc., and Phillip J. Weber (Respondents) Case Number: 09-06118 Hearing Site: Providence, Rhode Island consolidated with Diane M. LeBoeuf (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Phillip J. Weber (Respondents) Case Number: 09-06119 Hearing Site: Providence, Rhode Island con

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Names of Claimants Joseph and Fionnvala Stockton vs. Case Number: 09-06348 Hearing Site: Dallas, Texas Names of Respondents Fidelity Brokerage Services, LLC and Thomas Alexander Scarbrough NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph and Fionnvala Stockton ("Claimants") were represented by Kelly L. Mc

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Name of Claimant Frances Lebrasca vs. Case Number: 09-03662 Hearing Site: Chicago, Illinois Names of Respondents Wachovia Securities, LLC, Barbara Regnitz, and Muneera Dawood NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Frances Lebrasca ("Claimant") was represented by Sandor Grossman, Esq.. Law Office of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03094 Rosen Capital Partners LP Rosen Capital Institutional LP Name of Respondent Hearing Site: Los Angeles, Caiifomia Merrill Lynch Professional Clearing Corp. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Rosen Capital Partners LP ("Rosen Partners") and Rosen Capital Institutional LP ("Rosen Institutio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Anthony Orefice (Respondent) Case Number: 09-02278 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Mark J. Alonso, Esq., Catania T. Facher, Esq., and Lauren R. Fox, Esq., Alonso, Andalkar, Toro

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-04144 Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fanner & Smith Incorporated Name of Respondent/Counter-Claimant Hearina Site: San Francisco, California Vince D. DiMaggio Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Clainnant/Counter-Respondent Banc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04761 Morgan Stanley Smith Barney, LLC Name of Respondent Hearing Site: Las Vegas, Nevada Jamie Dick Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Barney, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respondent, Ja

AWARD FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of Claimant Don C. Miller, Donald C. Miller Charles Schwab & Co., Inc. Cust IRA Rollover, and Donald C. Miller Charies Schwab & Co., Inc. Cust Roth Contributory IRA vs. Case Number: 09-05758 Hearing Site: Chicago, Illinois Names of Respondents Charles Schwab & Co., Inc. and Kimon P. Daifotis NATURE OF THE DISPUTE Customer vs. Member and Associated Person

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant GLB Trading, Inc. vs. Case Number: 10-03740 Hearing Site: Dallas, Texas Names of Respondents Penson Financial Services, Inc., Computer Clearing Services, inc., and Richard Barto McCain NATURE OF THE DISPUTE Member vs. Members and Associated Person REPRESENTATION OF PARTiES GLB Trading, Inc. ("Claimant" or "GLB") was represented by Lori S. Vara