Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-01566 Frank Rodriguez Susan Rodriguez, individually and on behalf of Frank Rodriguez, Alexandra Rodriguez and Andrew Rodriguez, minors Jay and Phyllis Drossman Henry Talerico III Julie Talerico, individually and'on behalf of James Talerico and Andrew Talerico, minors Carmen Strolla Names of the Respondents Hearing Site: B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01081 Marivi Rodriguez Respondent Hearing Site: Miami, FL Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marivi Rodriguez, hereinafter referred to as "Claimant": V. Michael Arias, Esq., V. Michael Arias, P.A., Coral Gables, FL. For Citigroup Global Markets, Inc. (Citigroup), h

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04643 Janbaz Sidiqi (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Irvine, CA. For Respondent appeared John Erikson, Esq., Los Angeles, CA and Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 17, 2010 CASE SUMMARY: Claimant alleged that Respondent's mismanagement of his account resulted in

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03733 Joan R. Grootemaat (Claimant) vs. Morgan Stanley Smith Barney, Owen H. Dugan, Jr., Corinne Moccia-Cunha and Citigroup Global Markets, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Windsor, Wl. For Respondents appeared Harper Robinson, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer vs. Members and Associated Persons DATE FILED: August 17, 2010 CAS

AWARD Award Data Award: $20,322.14 Interest: at the rate of four percent (4%) per annum from December 6, 2010 until payment of the Award Attorneys' Fees: $0.00 Costs: $525.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages in the amount of $22,322.14. 2) Res

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04891 UBS Financial Services Inc. (Claimant) vs. Charles V. Greco (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael D. Lee, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se, Pueblo, CO. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 29, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract and unjust enr

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05043 UBS Financial Services Inc. (Claimant) vs. Linda Lawson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Megan A. Smith, Esq., Schuyler, Roche & Crisham, P.C., Chicago, IL. Respondent appeared pro se. Flushing, Ml. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 5, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of promissory note and unjus

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04307 Watkins Brothers Trust (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Robert Wayne McPherson, Esq., McPherson Law Office, Memphis, TN. For Respondent appeared Ryan R. Baker, Esq., Bass Berry Sims, PLC, Memphis, TN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Boston Property Exchange Transfer Company, Inc. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 10-03330 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Boston Property Exchange Transfer Company, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) v. Robert A. Kantor (Respondent) Case Number: 09-05685 Hearlno Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Deborah Dickstein, Esq., Oppenheimer & Co., Inc., New York NY. Respondent Robert A. Kantor, hereinafter re