Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00408 Meniii Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: San Francisco, California Xin X. Li Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Julianne L. Peck, Esq., Rubi

stipulated Award FINRA Dispute Resolution In ttie Matter of the Arbitration Between: Manie of the Claimant (^se Number 08-04274 Joshua Lowe Name of the Reaoondent Hearing Site: Tamoa. Florida Banc of Ameiica Invesbnent Services, Inc., n/k/a Merrill Lynch. Pierce, Fenner & Smith incorporated Nature of the Dispute: Associated Psrson vs. Member. REPRESENTATION OF PARTIES For Joshua Lowe, hereinafter referred to as "Claimant": Ryon M. McCabe,

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Ronald C. Tirio, IRA and Colleen M. Tirio, IRA (Claimants) vs. Janney Montgomery Scott LLC (Respondent) Case Number 09-04003 Hearino Site: IHarttord, Connecticut Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Ronald C. Tirio. IRA ("R. Tirio") and Colleen M. Tirio, IRA ("C. Tirio"), hereinafter collectively refened to as "Claimante": Howard M. Ro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia Philips Stratta and Ettore Stratta (Claimants) vs. Citigroup Global Markets, Inc. and Andrew Wolff (Respondents) Case Number 09-02843 Hearing Site: New Yort^. New Yoric Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Patricia Philips Stratta (T. Stratta") and Ettore Stratta ("E. Stratta"). hereinafter collectively r

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06184 Andrew Garrett, Inc. (Claimant) vs. David W. Polifroni (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Revan R. Schwartz, Esq., Andrew Garrett, Inc.. New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 28,2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissory note. Claim

Award FINRA Dtepute Resolutton In ttie Matter of the Arfottration Between: NgmeofttieCteknant Case Numfoer Qft^3228 H&R Stock Flnenctel Advisore, Inc. Ngme of ttie Respondent Heerino Stte: Nashvilte, Tennessee William Gregory Stonecker Natore of the Dtepute: Member vs. Associated Person. REPRESENTATION OF PARTIES H&R Stock Financtel Advisore, Inc.. hereinafler referred to as "Cteknanf: Edward A. Watton, Esq., Asstetent General Counsel, H&R St

Award FINRA Dtepute Resolution In tiie Matter of the Arbttration Between: Name of ttie Ctelmant Case Numfoer 08-04331 CIHford 6. Lea Name of the Respondent Hggring?tte; Tampa, Ftorida Morgan Keegan & Company, Inc. Nature of the Dtepute: Customer vs. Member. REPREffiNTATW N QF PAIITIE9 For Clttford G. Lee, hereinafter referred to as "Cteimanf: Defora Brewer Hayes, Esq., The IHayes Lam Finn, P.C., Houston, Texas. For Morgan Keegan & Company

Award FINRA Dispute Rssolirtlon In the Matter of the Art>itratton Between: NameofthftCtolmant Case Number 08-01981 Wachovte Securities, LLC Name of the Respondent Hearing Site: Rateigh, North Carolina Timothy M.WIHIams Naturs of the Dtepute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovte Securities, LLC, hereinafter refened to as "Ctelmanl^: Jonathan E. Levine, Esq., Ftore & Levtoe, PLLC, Arilngton, Virginie and Scott J.

AWARD FINRA Dtepute Resolution In the Matter of the Arbitration Between: Name of Claimant Chadd Edtein vs. Case Number 09-04470 Hearing Site: Dallas, Texas Name of Respondent Fklelity Brokerage Sennces, LLC NATURE QF THE PISPUTE Customer vs. Member REPRESENTATION QF PARTIES Chadd Edtein f Claimanr) appeared pro se. Fidelity Brokerage Sen/ices, LLC ("Respondent" or "Fidelity") was represented by Paula McManus, Esq., Fidelity Invest

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimante William A. LipinskI, Individually and as Trustee of the William A. LipinskI Tmst U/A/D 6/23/97 and Judy A. Liplnski IndlvkJually and as Trustee of the Judy A. LipinskI Trust DTD 6/23/97 vs. Case Number. 09-03365 Hearing Site: Chicago, Illinois Names of ResDondente Stifel, Nkx>laus & Company, Inc. and Donakj Meyer MATURE OF THFDiaPUTF Cu