Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Viola McNeill (Clainfiant) vs. Fidelity Brokerage Services LLC, William John Laws, and Aaron Michael Francis (Respondents) Case Number 09-03526 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Memt)er and Associated Persons. REPRESENTATION OF PARTIES Claimant Viola McNeill, hereinafter referred to as "Ciaimanf: Neil A. Sussman, Esq., Sussman & Frankel, LLP, N

AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of Claimant Steve Mann as Personal Representative of the Estate of John F. Mann vs. Case Number 09-04066 Hearing Site: Milwaukee, Wisconsin Name of Respondent Citigroup Global Maricete Inc. MATURE OF THgniSPUTg Customer vs. Member REPRESEMTATIQN OP PARTIES Steve Mann as Personal Representative of the Estate of John F. Mann fClalmanr) was represented by C

AWARD FINRA Dlsputa Resolution In the Matter of the Arbitration Between: Name of Claimant Gary R. Miles vs. Case Number 09-05216 Hearing Site: Pittsburgh, Pennsyivania Names of Respondents U.S. Brokerage, Inc., Gregory A. Randall, Jac G. Tomaseilo, and Southwest Securities. Inc. NATURE OF THE DISPUTE Associated Person vs. Members and Associated Persons REPRESENTATION OF PARTIES Gary R. Miles f Claimant") was represenlBd by V\feiyn

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00456 Roger W. Gratwick (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 John-David H. Thomas, Esq., Bass, Berry & Sims, PLC, Nashville, TN. i^TURE OF DISPUTE: Customer v. iViember DATE FILED: January 26, 2010 CASE SUMMARY: Claimant asserted the fol

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01098 Eugene Krzywicki (Claimant) vs. UBS Financial Services Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hoffman Estates, IL. For Respondent appeared Randi Perry Spallina, Esq., Bressler, Amery & Ross, Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to follow instructions to liquida

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00993 Diane N. Loper (Claimant) vs. UBS Financial Sen/ices Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Oconomowoc, Wl. For Respondent appeared Alise Johnson, Esq., Bressler. Amery & Ross, Miramar, FL. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: loss of principal. The cause of action relates to unspe

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00790 George M. Hunley, Jr., and Ada M. Hunley (Claimants) vs. Stu Fisher and Edward Jones (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared George M. Hunley, Jr., Kingsport, TN. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customers v. Associated Person and Member DATE FILED: February 17. 2010 CASE SUMMARY: Claimants asserted the following

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00565 Oppenheimer & Co., Inc. (Claimant) vs. Christopher N. Benedict (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Devin A. Donohue, Esq., Los Angeles, CA and Diana Sur, Esq., Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Woodland Hills, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 4, 2010 CASE SUMMARY: Claimant asserted the following causes of act

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00517 Brian W. Siulinski (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pflugerville, TX. For Respondent appeared Meredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 30. 2010 CASE SUMMARY: Claimant asserted the following causes of action: negligence and failure to execute. The caus

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07095 Eric Lawrence Weinstein (Claimant) vs. Citicorp Investment Services (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. North Merrick, NY. For Respondent appeared Patrick A. Fitzpatrick, Esq., Citi Personal Wealth Management, New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 18, 2009 CASE SUMMARY: Claimant asserted the following cause of action: expungement.