AWARD FINRA DISPUTE RESOLUTION CASE: 10-04508 Jack D. Vincent (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Kathryn J. Bushby, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Octobers, 2010 CASE SUMMARY: Claimant asserted the follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05209 Wells Fargo Advisors, LLC (Claimant) vs. Thomas O'Malley (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Memphis, TN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 16, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note and sett

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00645 Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. John E. Burke (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Andrew G. Gioia, Esq., Rubin, Fortunate & Harbison P.C., Paoli, PA. Respondent did not enter an appearance in the matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: February 14, 2011. CASE SUMMARY: Claimant asserted the following causes of actio

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04017 Wells Fargo Advisors, LLC (Claimant) vs. Jess Perez (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, San Rafael, CA. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: September 8. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of fee fronting program - overpaym

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Gillin (Claimant) vs. Syndicated Capital, Inc. (Respondent) Case Number: 10-02272 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Gillin, hereinafter referred to as "Claimant": Marc A. Susswein, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Syndicated Capital, Inc., here

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Joseph Heenan (Claimant) vs. Janney Montgomery Scott, LLC (Respondent) Case Number: 10-01953 Hearina Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Joseph Heenan, hereinafter referred to as "Claimant": Adam Green, Esq., Law Office of Adam Green, Philadelphia, PA. Respondent Janney Montgomery Scott, LLC, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Glenn R. Garmont (Claimant) vs. Gleacher & Company, Inc. a/k/a BroadPoint Gleacher Securities Group.. Inc. f/k/a BroadPoint Securities Group., Inc. f/k/a First Albany Companies, Inc.. and Gleacher & Company Securities, Inc. f/k/a BroadPoint Capital, Inc. f/k/a First Albany Capital, Inc. f/k/a First Albany Corporation, Inc. (Respondents) Case Number: 10-01743 Hearing Site: New York, New

Award FiNRA Dispute Resolution In the Matter of the Arbitration BebA/een: Yasir Sabri (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-01121 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Yasir Sabri, hereinafter referred to as "Claimant": Michael C. Deutsch, Esq., Singer Deutsch LLP, New York, NY. Respondent Citigroup Global Markets, Inc., hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alaina Spilkevitz (Claimant) v. Marie Gange, Egidio DiPietro, Luanne DiPietro, Margaret Lindner, Irene Rosen, and Chase Investment Services Corp. (Respondents) Case Number: 08-04039 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers and Member. REPRESENTATION OF PARTIES Claimant Alaina Spilkevitz, hereinafter referred to as "Claimant": Michael C.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois Grumet (Claimant) vs. Citigroup Global Markets, Inc., and Gary A. Schwarcz (Respondents) Case Number: 09-07044 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lois Grumet, hereinafter referred to as "Claimant": John E. Lawlor, Esq., Mineola, NY. Respondent Citigroup Global Markets, Inc