Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Ciaimant Case Number: 09-04458 George Wendell Trotter Names of the Respondents Hearina Site: Birmingham, Alabama Parte Avenue Securtties, LLC Christopher Scott Miller Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George Wendell Trotter, hereinafter referred to as "Claimant," appeared pro se. For Parte Avenue S

Award FINRA Dtoputo RMdutlon In the Matter of the Art>ttration Between: Cteimant Case Number 09-01865 Donald S. Morrow Respondente Hearina SHe: San Frandsco, Caittbmte Wedbush Securities Inc. Usa Ann Galto Nature of the Dtepute: Customer vs. IMember and Associated Person REPRESENTATION OF PARTIES Claimant. Donald S. Morrow, hereinafter refened to as "Ciaimanf: Lawrence W. Miles, Jr., Esq., The Miles Law Finn, Sacramento, CalHbmia. Res

AWARD FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Maricete, Inc. d/b/a Smrth Bamey vs. Case Number 09-03366 Hearing Site: Houston, Texas Name of Resoondent/Counter-Cteimant Angela M. Roaric NATURE QF THE PI8PUTE Member vs. Associated Person RgPRESgNTATION QF PARTIES Citigroup Global Maricete, Inc., d/b/a Smith Bamey C'Cteimant") was represented by Erin E.

AWARD FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Maricete, Inc. d/b/a Smrtti Bamey vs. Case Number. 09-02502 Hearing Site: Olctehoma City, Oldahoma Name of Respondent Brent R. Bishop NATURE OF THE DISPUTE Member v. Associated Person REPRESENTATION QF PARTIES Citigroup Global Maricete, Inc. d/b/a Smith Bamey ("Claimant^) was represented by Erin E. Mac Avoy, Esq., Alonso, And

AWARD FINRA Dtoputo Reaolutlon In the Matter of the Ari3ltration Between: Name of Claimant Joyce B. Glynn vs. Case Number 09^2834 Hearing SHe: Houston, Texaa Names of Respondente Morgan Stanley & Co., Incorporated, TTiomas Anton Fens, and Linda R. Poole MATURg OF THE DISPUTE Customer vs. Member, Non-Member, and Associated Person REPRESEMTATIQN OF PARTIES Joyce B. Glynn ("Claimant") appeared pro se. Morgan Stanley & Co., Incorp

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05324 Javier Ernesto Corujo-Ramsey Name of the Respondent Hearina Site: San Juan. Puerto Rico Lincoln Financial Securities, Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Javier Ernesto Corujo-Ramsey, hereinafter refened to as "Clalmanf: Maria Elsie Lopez-Adames. Esq., Gonzalez Lopez & Lopez A

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05336 Howard A. Rubin (Claimant) vs. TD Ameritrade. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santo Fe, NM. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unauthorized sale of holdings. The cause of action relates to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01457 Jeffrey S. Donner (Claimant) vs. Steriing Financial Investment Group, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Darin A. DiBello, Esq., DiBello, Lopez & Castillo, P.A., Coral Gables, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: March 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: brea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph S. Chaylca. Jr. on behatf of the Joseph S. ChayIca Rollover iIRA (Claimant) vs. Janney Montgomery Scott, LLC and Peter T. Higgins (Respondents) Case Number: 09-02397 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph S. Chayka. Jr. on behalf of the Joseph S. Chayka Rollover IRA

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Ronald A. Roganti (Claimant) v. Metropolitan Life Insurance Company (Respondent) Case Number: 04-04876 Hearing Site: l^iew York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ronald A. Roganti, hereinafter referred to as "Claimant": Robert Kraus, Esq. and Pearl ZuchlewskI, Esq., Kraus & Zuchlewski LLP, New York, NY. Prevk)usly r