Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01893 Steven Smith Respondent Hearing Site: Washington. D.C. Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Steven Smith, hereinafter referred to as "Claimant": Patricia L. Payne, Esq., Payne 8i Associates, Washington D.C. For Citigroup Global Markets Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06859 Dr. Donald Steinberg TTEE FBO Dr. Donald Steinberg Revocable Trust U/A/D 3/18/92 Respondents Hearing Site: Boca Raton, FL Morgan Stanley Smith Barney Citigroup Global Markets Inc. Thomas Michael Konopka Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dr. Donald Steinberg TTEE FBO D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04763 Steven L. West and Judith K. West, Co-Trustees of the Steven L. West and Judith K. West Joint Revocable Trust U/A DTD 12/18/07 Respondents Hearing Site: Boca Raton, Florida Newbridge Securities Corporation William David Isaacson James Patrick Shawver Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00400 Wells Fargo Advisors, LLC ("Claimant") vs. John Sork ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Donald R. Littlefield, Esq., Ballard & Littlefield, LLP, Houston, Texas For Respondents: Respondent did not appear NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 26. 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("Note"). RELIE

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 09-05587 Merrill Lynch, Pierce, Fenner & Smith, Incorporated Respondent Hearing Site: San Juan, Puerto RIco Angel E. Aquino Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Claimant"): Julianne L. Peck, Esq. and Christopher S. Koller, Esq., Rubin, Fortunate

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clainfiant Case Number: 10-01900 Wells Fargo Advisors, LLC, fomrierly Known as Wachovia Securities, LLC Respondent Hearing Site: Columbia, South Carolina Robert Isom Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, fomnerly known as Wachovia Securities, LLC, hereinafter referred to as "Claimant": Andrew Par

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-03086 Walter Binder and Mariys J. Binder Name of Respondents Hearing Site: Helena, Montana Edward Jones Gerald E. Hughes Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Walter Binder and Mariys J. Binder, hereinafter collectively referred to as "Claimants": Sara E. Hanley, Esq.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Adam Tymrakiewicz and Rosemarie Tymrakiewicz vs. Brewer Financial Services, LLC and Jason Michael Mutascio Case Number: 10-03756 SITUS: Detroit, Michigan NATURE OF DISPUTE: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Adam Tymrakiewicz and Rosemarie Tymrakiewicz ("Claimants") were represented by Stephen R. Baylerian, Esq., UAW Legal Services Plans, Sterli

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Larry Wayne Addams vs. Name of Respondent Money Concepts Capital Corp. Case Number: 10-04675 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Larry Wayne Addams ("Claimant") appeared pro se. Money Concepts Capital Corp. ("Respondent") was represented by Kathy M. Klock, Esq., Fowl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-04799 Loretta J. Forer Daniel B. Forer Respondent Hearing Site: Miami, FL Citigroup Global Markets, Inc., d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Loretta J. Forer and Daniel B. Forer, hereinafter collectively referred to as "Claimants": D.S. "Dar" Airan, Esq. and Robert E. Stone, Esq.,