AWARD FINRA DISPUTE RESOLUTION CASE: 10-02449 Donald E. Lingle (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James A. Dunlap, Jr., Esq., James A. Dunlap Jr. & Associates LLC, Atlanta, GA. For Respondent appeared G. Wayne Hillis, Jr., Esq., Parker, Hudson, Rainer & Dobbs LLP, Atlanta, GA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 17. 2010 CASE SUMMARY: Claimant asserted the f

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02239 Dorothy Fuchs, Dorothy Fuchs Roth IRA, and Dorothy Fuchs IRA R/0 (Claimants) vs. Richard Jay Caplin (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Steven C. Fuchs, Stony Brook, NY. For Respondent appeared Eugene L. Small, Esq., Gibbons P.C, New York, NY. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: May 11, 2010 CASE SUMMARY:, Claimants asserted the following cause of acti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jerry W. Czin (Respondent) Case Number: 09-04150 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": Diana Sur, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent Jerry W. Czin hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James D. Dunning, Jr. (Claimant) v. Martin Shafiroff, Brian Hirsch, and Barclays Capital Inc. (Respondents) Case Number: 09-02630 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant James D. Dunning, Jr., hereinafter referred to as "Claimant": Jon Paul Robbins, Esq., McLaughlin & Stern, LLP, New Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Russell (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. (Respondent) Case Number: 09-02468 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David Russell ("Claimant"): Nelson S. Torre, Esq., Law Office of Nelson S. Torre, Buffalo, NY. Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft, Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Citigroup Global Markets, Inc. Case Number: 09-01796 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beilram E. Barnett Jr. ("Barn

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Betweeh: Name of Claimant / Counter-Respohdent Charies Schwab & Co., inc. vs. Name of Respondent / Couhter-Claimant Douglas Kuhlman Case Number: 09-03578 Hearing Site: Cleveland, Ohio NATURE QF THg DISPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Charles Schwab & Co. , Inc. ("Claimant" or "Chailes Schwab") was represented by Michael R. Greco, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01294 Delmer B. Seitter, Jr. Patty S. Seitter Names of the Respondents Hearing Site: Raleigh, North Carolina SunTrust Investment Services, Inc. SunTrust Bank Jerry W. Smith Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Delmer B. Seitter, Jr. ("Delmer") and Patty S. S

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06768 Seymour Lowell and Lee G. Lowell Name of the Respondent Hearing Site: Boca Raton, Florida Ameriprise Advisor Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Seymour Lowell and Lee G. Lowell, hereinafter collectively referred to as "Claimants": Scott L. Silver, Esq., Blum & Si

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01848 Pamela K. Mah Name of Respondent Hearing Site: Honolulu, Hawaii Financial Advisers of America, LLC Nature of Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Pamela K. Mah, hereinafter referred to as "Claimant": Pamela K, Mah, pro se, Kapolei, Hawaii. Respondent Financial Advisers of America, LLC, hereina