Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-02854 Lisa Ann Detanna Name of Respondent Hearina Site: Los Angeles, California Margaret Smith Nature of Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Lisa Ann Detanna, hereinafter referred to as "Detanna" or "Claimant": Scott E. Rahn, Esq., Greenberg Traurig, LLP, Santa Monica, California. Respondent, M

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 09-06216 Whitney Sack Corderi Names of the Respondents Hearina Site: Miami, Florida Chicago Investment Group, LLC Thomas Francis McCarviil Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Whitney Sack Corderi, hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Fi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04939 Wells Fargo Advisors, LLC (Claimant) vs. Michael Alexander (Respondent) REPRESENTATION OF PARTIES: For Claimant: Christopher S. Griesmeyer, Esq., Greiman, Rome & Griesmyer, PC, Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("Note"). RE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-07065 Maria Elena Henrichs Name of Respondents Hearing Site: Phoenix, Arizona Workman Securities Corporation Attila Gyula Toth Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Maria Elena Henrichs, hereinafter referred to as "Claimant": Jeffrey Gardner, Esq., and Timothy J. Sabo, Esq., R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 08-03114 Howard D. Coleman, individually and as trustee of The Coleman Family Trust U/T/A 1/18/1992 and Rhoda B. Coleman, individually and as trustee of The Coleman Family Trust U/T/A 1/18/1992 Name of Respondent Hearing Site: Los Angeles, California Citigroup Global Markets Inc. Nature of Dispute: Customers vs. Member REPRESENTATIO

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Investment Professionals, Inc. vs. Case Number: 09-04752 Hearing Site: San Antonio, Texas Name of Respondent Joshua Canaan Freeman, Sr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Investment Professionals, Inc. ("Claimant" or "IPI") was represented by Karen A. Monsen, Esq., Jackson Walker, LLP, San Anto

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03575 RBC Wealth Management, a division of RBC Capital Markets Corporation (Claimant) vs. Larry Galia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Abe Lampart, Esq., Law Offices of Abe Lampart, P.C., San Francisco, CA. Respondent appeared pro se, El Dorado Hills, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 9, 2010 CASE SUMMARY: Claimant asserted the following cause

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04180 Wells Fargo Advisors, LLC (Claimant) vs. Steven J. Hering (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Seattle, WA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim Da

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy Burnett (Claimant) vs. Dresdner Kleinwort Securities LLC (Respondent) Case Number: 10-01617 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Timothy Burnett, hereinafter referred to as "Claimant" appeared pro se. Respondent Dresdner Kleinwort Securities LLC, hereinafter referred to as "Respondent": K

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04005 Wells Fargo Advisors, LLC (Claimant) vs. Silas Atsalis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Thomas H. Tucker, Esq., Law Offices of Thomas H. Tucker, Duxbury, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: b