Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George L. Rioseco, DOS (Claimant) vs. Gabelli & Company, Inc., GAMCO Investors. Inc., d/b/a Gabelli Asset l\1anagement Company, Inc., John Gabelli and Daniel L. Lofrese. Jr. (Respondents) Case Number: 08-04965 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimant George Rioseco, DDS her

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Estate of Raymond H. Casteliano, IVIary M. Castellano as Executrix (Claimant) vs. Jason L. Mieras, Lawrence J. Mieras, and American Portfolios Financial Services, Inc. (Respondents) Case Number: 08-03527 Hearing Site: Philadelphia, Pennsylvania Nature of tiie Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Estate of Raymond H. Castellano,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Upper & Company, L.P., Upper & Company, Inc., Kenneth Lipper, and Lipper Partners, L.P. (Claimants) vs. Richard A. Williamson, as Successor Liquidating Trustee on behalf of Lipper Convertibles, L.P. (Respondent) Case Number: 07-03139 Hearing Site: New Yori^, New York consolidated with Richard A. Williamson, as Successor Liquidating Tmstee on behalf of both Lipper Convertibles, L

Award FINRA DIepufs Resolution In the Matter of the Arbitration Between: Nameoftheplaimant Case Number: 09-00260 Timothy Leahy Name of the Respondent Hearino Site: Orlando. FL Charles Schwab &Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Timothy Leahy, hereinafter refened to as 'CiaimanT: Melanie S. Cherdack, Esq., Genovese Jobiove & Battista P.A., Miami, FL For Charles Schwab & Co., Inc. ("S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02294 Morgan Keegan & Company Inc. Name of the Respondent Hearino Site: Little Rock, Arkansas MaryM.Whfte Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company Inc., hereinafter referred to as "Clalmanf: Colleen Fitzgerald, Esq. and Shea O'Brien Hicks, Esq.. Morgan Keegan & Company

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02246 Oppenheimer & Co., Inc. (Claimant) vs. Jeffrey C. Finder (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana Sur, Esq., Oppenheimer & Co., Inc.. New York, NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 22. 2009 CASE SUMMARY.' Claimant asserted the following cause of action: breach of promissory note. Claim Dat

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05600 Bruce C. Brookshire (Claimant) vs. Capitol Securities Management, Inc., Jim Day. and G. Mark Hamby (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Biloxi, MS. For Respondents appeared Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta, Washington, DC. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 25, 2009 CASE SUMMARY: Claimant asserted the f

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Phyllis Shore (Claimant) v. Citigroup Global Markets, Inc., Smith Bamey, Inc., and Ron Cukier Case Number: 09-01764 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Phyllis Shore, hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. David R. Gaeckler (Respondent) Case Number: 09-01983 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Deborah Evans, Esq., Michaels, Ward & Rabinovitz LLP, Boston, MA. Respondent David R. Gaeckler hereinaf

AWARD FINRA Dispute Resolution In the Matter of the Arbitratbn Between: Name of Claimant/Counter-Resoondent Citigroup Global Marinate, Inc. vs. Name of Resoondent/Counter-Clalmant Daniel Joseph Henrichs Case Number: 09-00882 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person Citigroup Global Maricets, Inc. ("Claimanr or "Citigroup") was represented by Catania, Facher, Esq., Alonso, Andalkar & Kahn, P.C, N