Award FINV^ Dispute Resolution In the Matter of the Ari3itration Between: Mary Wickett, Executrix of the Estete of Zona Mrus (Claimant) vs. Advantage Capitel Corporation and Robert J. Vogel, CFP (Respondente) Case Number: 09-05490 Hearing Site: Buffalo, New Yoric Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Mary Wicicett, Executrix of the Estete of Zona Mrus. hereinafter referred to as "Claimanf

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: James Kane and Agnes Kane (Ciain^ante) vs. Aura Financial Services, Inc. (Respondent) Case Number: 09-05423 SITUS: New Yoric. New Yoric NATURE OF DISPUTE: Customers vs. Member. REPRESENTATION OF PARTIES: James Kane and Agnes Kane hereinafter collectively rsfened to as "Claimante": Benjamin Lapin, SMRC, Inc., Brooldyn, NY. Respondent Aura Financial Services, Inc. ("Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tullett Prebon Financial Services LLC v. Citigroup Global Maricete, Inc. and Citigroup Gtobal l^aricete, Lto. Case Number: 09-02635 Hearing Site: New Yoric. New Yorit Nature of the Dispute: Member vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Tullett Prebon Financial Services LLC hereinafter referred to as "Claimant": Thomas B. Kinzler, Esq., Kelley Drye & Wamen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Katz (Claimant) vs. Stenley Wong, Oppenheimer & Co. Inc., and Commerce Capitel Markete, Inc. (Respondente) Case Number 09-00351 Hearing Site: Albany, New Yoric Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Katz hereinafter refen^ to as "Claimant": Marie T. Starionan, Esq., Jacobowitz & Gubits, LLP, Walden, NY.

AWARD FINRA Dispute Reeolutlon In the Matter of the Arbitration Between: Names of Claimante William Henry Monroe II and Bart)ara Susan Monroe, Individually, William Henry Monroe II and Bariaara Susan Monroe, for their joint accounts, William Henry Monroe II and Barbara Susan Monroe, on behalf of their IRA accounts, William Henry Monroe II and BariE>ara Susan Monroe, on behalf of their Trust accounts, and William Henry Monroe II, as Custodian of t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC (Claimant) vs. Robert J. Lenihan (Respondent) Case Number: 09-06718 Hearing Site: New Yoric, New Yorit Nature of the Dispute: Memt>ervs. Associated Person. REPRESENTATION OF PARTIES Claimant Wells Fargo Advisors. LLC, hereinafter referred to as "ClaimanT: Brady J. Hermann, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Respondent did not enter an a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC v. FranIc Joseph Polsinello a/kia Joseph Frank Polsinello Case Number: 09-06602 Hearino Site: Albany, New Yori( Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott LLC, hereinafter refenred to as "Claimant": Jill B. Clarke, Esq., Janney Montgomery Scott LLC, Philadelphia, PA. Respondent F

Award FINRA Disputo Resolution in the Matter of the Arbitration Between: Stew and Susan Bird, individually and on behalf of their joint account, and Susan Bird on behalf of her individual Retirement Account (Claimante) vs. Sanfbrd C. Bemstein & Co., LLC, Alliance Bemstein, L.P., Bemstein Global Wealth Management, and Kevin O'Leary (Respondente) Case Number: og-01482 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Member, Non-Members

Award FINRA Dlsputo Resolution In the Matter of the Arbitration Between: Alvin H. Shrago (Claimant) vs. Deuteche Bank Securities, inc. (Respondent) Case Number: 09-00770 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Alvin H. Shrago ("Claimant"): Christine A. Palmieri, Esq., Liddie & Robinson. LLP.. New York. NY. Respondent Deuteche Bank ("Respondent"): Jill L Rosenberg, Esq..

Award FINRA Dtoputo Resolution In ttw Matter of the Ari^ttratlon Between: Namea of ttw Ctoimante Qa^ NM^ft^r, 09^3231 George Frederidc Verdone, Jr. Waitom Baker Wynn, Jr. Samuel Boyce RanKin George Maaon Rankin Clayton Christopher Scholand Nama of ttie Respondent Hearino Stte: Chartotte, Nortti CaroHna Cttigroup Gtobal Mariceto, Inc. Natore of the Disputo: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Frederic