Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Lobaito, Jr. (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 09-06450 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Joseph A. Lobaito, Jr., hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Responden

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Halen, Raymond Doyle, Peter Doyle, Samual Suhaka, and Lawrence Stavitski (Claimants) v. Randolph Lee Hill and Heartland Securities Corp. (Respondents) Case Number: 10-02883 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Persons vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Michael Halen ("Halen"), Raymond Doyle ("R. Doyl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04428 Darlene J. Gordon (Claimant) vs. MetLlfe Securities, Inc., and Eric T. Glod (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Uniontown, PA. For Respondents appeared Samuel E. Cohen, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Philadelphia, PA. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: September 29. 2010 CASE SUMMARY: Claimant asserted the follow

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05353 Donald R. Toussaint (Claimant) vs. BNY Mellon Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Camarillo, CA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 26, 2010 CASE SUMMARY: Claimant alleged monetary damages arising from his inability to exercise the subscription rights associated with his 401K by the

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04747 Robert Fortinsky and Barbara Shadie (Claimants) vs. Frank Smookler and Brookville Capital Partners, LLC (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Allan M. Kluger, Esq., Hourigan, Kluger &. Quinn, P.C., Kingston, PA. For Respondents appeared Brett D. Zinner, Esq., Law Offices of Brett D. Zinner, P.C., New York, NY. j NATURE OF DISPUTE: Customers vs. Associated Person and Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Adeyinka Adedeji (Claimant) vs. Fidelity Investment Institutional Services (Respondent) Case Number: 10-01473 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Adeyinka Adedeji, hereinafter referred to as "Claimant" appeared pro se. Respondent Fidelity Investment Institutional Services by Order of the Arbitrator herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. John P. Downs (Respondent) Case Number: 09-06101 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Ross Carmel, Esq. and Yana Kromo, Esq., Alonso, Andalkar, Toro, Facher& Macavoy, New Yor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04456 George Lee Tallman, Jr., and Barbara V. Tallman (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Julie Wilson Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 1, 2010 C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stanley Goldman, Executor of The Estate of Harvey Rosner, Deceased vs. Names of Respondents U.S. Bancorp Investments, Inc. and Kristen Hummel Case Number: 10-01456 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Stanley Goldman, Executor of The Estate of Harvey Rosner, De

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05227 Morgan Stanley Smith Bamey, LLC (Claimant) vs. Ben E. Rosenberg (Respondent) REPRESENTATION OF PARTIES: For Claimant: Diane C. Fischer, Esq. and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, Illinois For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 16, 2010 CASE SUMMARY: Claimant asserted the following causes of action: Breach of pro