Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janney Montgomery Scott LLC (Claimant) vs. Apostolos N. Pitsironis (Respondent) Case Number: 09-00153 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Dennis N. Lueck, Jr., Esq., Stradley Ronon Stevens & Young. LLP. Philadelphia, PA. Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TD Ameritrade, Inc. vs. Name of Respondent Robert Lieblang Case Number: 09-01876 Hearing Site: Chicago, Illinois Member vs. Customer TD Ameritrade, Inc. ("Claimant") was represented by R. Matthew Ingraham, Esq., TD Ameritrade, Inc., Bellevue. Nebraska Robert Lieblang ("Respondent") did not appear. The Statement of Claim was filed on or about Apri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Scottrade, Inc. vs. Name of Respondent / Counter-Claimant Elisei Chereji Case Number: 08-03607 Hearing Site: St. Louis, Missouri Member vs. Customer Scottrade, Inc. ("Claimant" or "Scottrade") was represented by Thomas L. Azar, Esq., Thompson Coburn, LLP, St. Louis, Missouri. Elisei Chereji ("Respondent" or "Chereji") appeared pr

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents Gregory E. Mantor and Mantor Watson Securities, Inc. n/l^a Ascension Financial Solutions. Inc. vs. Case Number: 07-03406 Hearing Site: Columbus, Ohio Names of Respondents / Counter-Claimants Heartland Holding Company, Inc. and Kenneth G. Mueller NATURE OF THE PISPUTE Associated Person and Terminated Member vs. Non-M

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01250 Robert Dillon and Nancy Dillon (Claimants) vs. Bank of America Investment Services, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Scott M. Dimond, Esq., Dimond, Kaplan & Rothstein, P.A., Miami, FL. For Respondent appeared Barton Wayne Cox, Esq., Fulbright & Jaworski. LLP, Dallas, TX. NATURE OF DISPUTE; Customers v. Member DATE FILED: March 6. 2009 CASE SUMMARY: Claimants asse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jennifer A. McNulty (Claimant) vs. TO Ameritrade, Inc. (Respondent) Case Number: 08-04299 Hearing Site: Newari^. New Jersey Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Jennifer A. McNulty hereinafter refered to as "Claimant": Robert A. Vallone, Princeton. NJ. Respondent TD Ameritrade, inc., hereinafter referred to as "Respondent": James J. V

Award FINRA Dispute Resolution In the Matter of the Ari>itration Between. Robert C. Young (Claimant^ vs. Merrill Lynch Pierce Fenner & Smith, Inc.. and Charles Steven Tebceira (Respondents) Case Number: 08-01910 Hearing Site: NewYorl< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert C. Young hereinafter referred to as "Claimant" appeared pro se. Respondente Memll Lynch Pierce Fenner

Award FINRA Dispute Resolution in the Matter of the Arbitratbn Between: Jed Prevor (Claimant) vs. Cohen Specialists LLC and Interactive Brokers LLC (Respondents) Case Number 08-03748 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Member of AMEX. REPRESENTATTON OF PARTIES Claimant Jed Prevor herelnanBr referred to as "ClaimanT appeared pm se. Respondent Cohen Specialists LLC CCohen'^: Christopher Cacace, Cohen Spedalis

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02027 Mark Kaplan (Claimant) vs. UBS Financial Sen/ices Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Felix M. Phillips, Esq., Phillips & Potach, P.A., Minneapolis, MN. For Respondent appeared Dan A. Rosenbaum, Esq., UBS Financial Services Inc., Weehawken, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 10, 2009 CASE SUMMARY: Claimant asserted the following causes of action: mis

Award Data Award: $4,862.20 Interest: at the rate of 5.13% per annum from August 29, 2008 until the award Is paid Costs: $525.00 AWARD: The undersigned arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant the sum of $4,862.20. 2) Respondent is liable for and shall pay to Claimant interest at the rate of 5.13% per annum from August 29,