AWARD FINRA DISPUTE RESOLUTION CASE: 10-03784 Citigroup Global Markets Inc. (Claimant) vs. Michael J. Mildon (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jeremy M. Joseph, Esq., Keesal, Young & Logan, Long Beach, CA and Eleonora Grinshteyn, Esq., Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent appeared pro se, Santa Clarita, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 18, 2010 CASE SUMMARY: Claimant a

AWARD Award Data Award: $995.00 Interest: at the rate of five percent (5%) per annum from August 14, 2009 until the Award is paid Costs: $0.00 Costs: $375.00 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 of $995.00. 2) Respondent is liable for and shall pay to Claimant interes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John D. Bartolomeo (Claimant) vs. Christopher Fenton and M&T Securities, Inc. (Respondents) Case Number: 10-00883 Hearina Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant John D. Bartolomeo, hereinafter referred to as "Claimant": John Dear, Esq., Dear Rieck Kaley & Mack, New York, NY. Respondents Chris

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Vincent Goodman vs. Name of Respondent Steven Udelson CaseNumber: 09-07273 Hearing Site: Cleveland, Ohio NATURE QF THE Associated Person v. Customer REPRESENTATION QF PARTIES John Vincent Goodman ("Claimant") was represented by Brett S. Krantz, Esq.. Kohmnan Jackson & Krantz, PLL, Cleveland, Ohio. Steven Udelson ("Respondent") appeared p

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Thomas D. Whalen (Claimant) vs. Barclays Capital Inc. and Barclays Bank PLC (Respondents) Case Number. 09-03587 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas D. Whalen ("Claimant"): Laurence S. Moy, Esq., Outten & Golden, LLP. New York. NY. Respondent Barclays Capital Inc. ("Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marcus Ribka (Claimant) v. SG America Securities, LLC (Respondent) Case Number: 09-03087 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Marcus Ribka, hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq., and Sherry S. Shore, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent SG Americas Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02448 Dr. Jerry Stiffel Names of the Respondents Hearinq 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, hereinafter referred to as "Claimant" appeared pro se. For Respondent Bluechip Securities, Inc. ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Bruni and Michele Bruni (Claimants) vs. Stifel, Nicolaus & Co, Inc., Ryan Beck & Co., and Michael Jason Bader (Respondents) Case Number: 09-00465 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Peter Bruni ("P. Bruni") and Michele Bruni ("M. Bruni"), hereinafter collectively ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-04078 John Miller Respondents Hearing Site: Las Vegas, Nevada Vanguard Mari< eting Corporation Patricia K. Dunham Pacific West Securities, Inc. First Wailstreet Financial Advisors Pershing LLC Nature of Dispute: Customer vs. Members, Non-Member, and Associated Person REPRESENTATION OF PARTIES Claimant. John Miller hereinafter referred

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Walter E. Moore vs. Name of Respondent / Counter-Claimant Richard D. Tanner Case Number: 07-02278 Hearing Site: Cleveland, Ohio NATURE OF THE DiSPUTE Associated Person vs. Associated Person REPRESENTATION OF PARTIES Walter E. Moore ("Claimant" or "Moore") was represented by Victor Mezacapa 111, Esq., Licata & Toerek, Independ