Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Vogel (Claimant) vs. Citigroup Global Markets, Inc., Peter Dolan, and Troy Rothmann (Respondents) Case Number: 09-03682 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Vogel ("Claimant"): Thomas H. Tucker, Esq., Law Office of Thomas H. Tucker, Duxbury, MA. Respondents Citigr

AWARD RNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wayne Brown and Cynthia Joan Brown vs. Case Number 09-01961 Hearing Site: Chicago, Illinois N^rnQ? Qf RggppnijQnt? Wachovia Securities, LLC and Dennis Anderson NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION QF PARTIES Wayne Brown and Cynthia Joan Brown ("Claimants") were represented by Joel M. Weiner, Esq., L

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05313 Jonathan Bjoring Michael R. Gray Jason R. Haddaway Clarence B. Taylor, Jr. Names of the Respondents Hearing Site: Washington. DC Banc of America Investment Services, Inc. Bank of America Corporation Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jonathan Bjoring ("

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05185 Ameriprise Financial Services, Inc. Name of the Respondent Hearina Site: Washington. D.C. Brent D. Collier Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward A. Walton. Esq.. Ameriprise Financial, Detroit, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01833 William J. Green and Susan P. Green Name of the Respondent Hearing Site: Orlando, Florida UBS Financial Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William J. Green ("W. Green") and Susan P. Green ("S. Green"), hereinafter collectively referred to as "Claimants": Jason A. Archina

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 10-01168 Robert Craig Reynolds, individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 Susan H. Pitsch Reynolds, Individually and as Trustee of the Reynolds Living Trust U/A 6/14/03 and as Trustee of the 403-B Plan FBO Susan H. Pitsch-Reynolds Name of the Respondent Hearinq Site: Los Angeles, California Sagepoint Financial

Award FINRA Dispute Resolution In the Matter of the Arii}itration Between: Name of Claimant Case Number: 10-04449 Menill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondent Hearing Site: Los Angeles, Califomia Rodel Corriente Nature of Dispute: Member vs. Associated Pereon REPRESENTATION OF PARTIES Claimant, Menill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Olga Y. Wayne, Esq., Rubin Fortu

STIPULATED AWARD FINRA Diapute Reaolution In the Matter of the Aribitration Between: Alphonse J. Matt, Jr., individually and as Beneficiary of the Alphonse J. Matt, Jr. IRA Rollover vs. CaseNumber 08-04462 Hearing Site: Minneapolis, Minnesota Nam9?9f R9$PQn^9nt$ Charies Schwab & Co., and Kimon P. Daifotis NATURE QF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Alphonse J. Matt, Jr. individually and as

AWARD FINRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Fox & Company Investments, Inc. vs. CaseNumber: 08-05026 Hearing Site: Dallas, Texas Names of Respondents Milkie/Ferguson Investments, Inc.. John Edward Shryack, and Steven Alan Gundy NATURB QF THE PISPMTE Member vs. Member and Associated Persons REPRESENTATIQN QF PARTIES Fox & Company Investments. Inc. ("Claimant" or "Fox") was represented b

Award FINRA Dispute Resolution In the Matter of tine Arbitration Between: Name of the Claimant Case Number: 09-02448 Dr. Jerry Stiffel Names of the Respondents Hearina Site: Boca Raton, Florida Bluechip Securities, Inc. Muhammad Khan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Dr. Jerry Stiffel, iiereinafter referred to as "Claimant" appeared pro se. For Respondent Bluechip Securities, Inc.