Award FINRA DIsputa Resolution In the Matter of the Arbitration Behveen: Fred Dinkin and Carol J. McKlnnon (Claimants) v. Morgan Keegan & Company, Inc. (Respondent) Case Number 09-05049 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Fred Dinkin ("Dinkin") and Carol J. McKlnnon ("McKinnon"), hereinafter collecth/ely referred to as "Claimants": Howard B. Prossnltz, Esq., Law Offi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vito Vitone (Claimant) vs. Kevin J. Beauiieu, Richard P. Beaulieu, Jr., Ian Scott Gerrior, and Signator Investors, Inc. (Respondents) Case Number: 09-01276 Hearing Site: Providence, Rhode Island Nature of the Dispute: Associated Person vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Vito Vitone, hereinafter referred to as "Claimant": William M. Kolb, Esq., Law

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon P. Spitz, Olivia Spitz and Sharyn Spitz, as Trustees of the Spitz Family Partnership L.P. (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 08-03810 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant the Spitz Family Partnership L.P., Sheldon P. Spitz, Olivia Spitz and Sharyn Spitz, as Trustees,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05162 James Quincy Steigelman, IRA (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bloomfield Hills, Ml. For Respondent appeared Courtney R. Reid, Esq., Ameriprise Financial, Inc., Minneapolis, MN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 9, 2010 CASE SUMMARY: Claimant alleged that he incurred damages when his stop order

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 10-01881 Hearing Site: Houston, Texas Name of Respondent Stephen C. Long NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATIQM OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant") was represented by Edward G. Winsman, Esq. and Jason E. Murtagh, Esq., Rubin, Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 1Q-Q3475 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Boca Raton, Florida Donn Sanders Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Jill B. Clarke, Esq., Janney Montgomery Scott LLC, Philadelphia, Pennsylvania.

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the AriDltratlon Between: Name of Claimant UBS Financial Services, Inc. vs. Case Number 10-02310 Hearing Site: Chicago, Illinois Name of Respondent Thomas C. Aylmer NATURE QF THE PI8PUTE Member vs. Associated Person REPRESENTATION QF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Ernest W. Irons. Esq., Schuyler Roche Crisham, PC, Chicago, Illinois. Th

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond James & Associates, Inc. (Claimant) v. Jonathan Valk (Respondent) Case Number 10-03054 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc., hereinafter referred to as "Clainnant": Kelli Bulllngton, Esq., Raymond James & Associates, Inc., St. Petersburg, FL. Respondent Jo

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Henry D. Ostberg (Claimant) vs. Citigroup Global Markets Inc. (Respondent) Case Number 09-03306 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Henry D. Ostberg, hereinafter referred to as "Claimant": Seth Lipner Esq., Deutsch & Lipner Garden City, NY. Respondent Citigroup Global Markets Inc.. hereinafter re

AWARD FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Boushy North Investments, Ltd. vs. Case Number 09-05503 Hearing Site: Houston, Texas Name of Respondent Penson Financial Services, Inc. and Name of Third-Party Claimant Penson Financial Services, Inc. vs. Names of Third-Party Respondents Second Mile Wealth Management, Inc. and Thomas Cooper NATURE OF THE DISPUTE Customer vs. Memb