AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Elizabeth C. Roth vs. Names of Respondents J.J.B. Hilfiard, W.L Lyons. LLC and Len McGehee Case Number: 09-01900 Hearing Site: St. Louis, Missouri Customer vs. Member and Associated Person Elizabeth 0. Roth ("Claimant") was represented by J. Christopher Wehrie, Esq., Goldberg Picl^ett, St. Louis, Missouri. J.J.B. Hiliiard, W.L. Lyons. LLC ("Hilii

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04841 Variable Investment Advisors. Inc. (Claimant) vs. Cynthia Steven-Montgomery (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory S. Wilson. Variable Investment Advisors, Inc., Sioux Falls, SD. Respondent appeared pro se. El Cajon, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 14, 2009 CASE SUMMARY: Claimant asserted the following cause of action: chargeback mon

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04794 Janney Montgomery Scott LLC (Claimant) vs. Joseph M. Dorrycott (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared Jill B. Clarke. Esq.. Janney Montgomery Scott LLC, Philadelphia, PA. Respondent appeared pro se, Inwin. PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 12. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. Cl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04321 Abid A. Shah, as tmstee of the Abid Shah Tmst UAD 9/12/92 Names of the Respondents Hearina Site: Tampa, Florida Merrill Lynch Pierce, Fenner & Smith Incorporated Clyde Wayne McMullen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Abid A. Shah, as tmstee ofthe Abid Shah Tmst UA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Roberte Ritchie as Tmstee of the Roberta Ritchie Trust and co-Tnjstee of the Richard Ritchie Toist Michael Boristow and Christopher Ritchie as co-Tmstees of the Richard Ritchie Trust Names of the Respondente Dakota Securities International, Inc. Stephen E. Glaser Keith Pagan Case Number: 08-02620 Hearina Site: Boca Raton, Florida Nature

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04216 Bill Steinkirchner Name of the Respondent Hearino Site: Oriando, Florida McGinn, Smith & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bill Steinkirchner, hereinafter refened to as "Claimanr: Adam J. Gana, Esq., Napoli Bern Ripka LLP, New Yori(, New Yoric. For McGinn, Smith & Company

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 09-02769 Robert 1. Simon, M.D. Names of the Respondents Hearing Site: Washington. D.C. Johnston, Lemon & Co. Inc. John Franklin Clardy, III Thomas Terrance Wallace Benjamin Yost White Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert I. Simon, M.D., hereinafter refemed to as "C

Award FINRA Dispute Resolution In the Matter of the AriE}itration Between: Name of the Claimant Case Number: 08-03530 Morgan Keegan & Co., Inc. Name of the Respondent Hearina Site: Memphis, Tennessee John Emory Wilfbng Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": Thomas Barnett, Esq., Counsel for Morgan Keegan & Co., Inc., Memphis, Tennesse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00854 GeraWine Kolikow TTEE f/b/o The Kolikow Trust Names of the Respondents Hearing Site: Miami, Ftorida H&R Block Financial Advisors, inc. John F. Sullivan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Geraldine Kolikow TTEE f/b/o The Kolikow Tmst, hereinafter referred to as "Cla

AWARD FINRA Dispute Resolution tn the Matter of the Arbitration Between: Name of Claimant Wells Fargo Advisors, LLC as successor to A.G. Edwards & Sons, Inc. vs. Case Number: 07-03166 Hearing Site: Indianapolis, Indiana Names of Respondents Theodore Sturges, Stephen Merrick, Donald Minton, Martin Smith, and Raymond. James & Associates, Inc. NATURE OF THE DISPUTE Member vs. Associated Persons and Member Wells Fargo Advisors, LLC as