EFTA00726318

FINRA Dispute Resolution 
Has an account with 
Had an account with 
Has an account with 
Had an account with 
Initiated/defended legal action 
against 
Had an account with 
Arbitrator for 
Family member had relationship 
with 
Is Shareholder of 
Has an account with 
Had an account with 
Banc of America Investment Services, I 
Dreyfus Service Corporation 
Fidelity Investments Institutional Srvcs 
Grunter & Co., L.L.C. 
Prudential Equity Group, LLC 
Quick and Reilly, Inc. 
NYSE 
Prudential Equity Group, LLC 
Arbitrator ID: 
settled 1985 
Parents named Prudential in civil suit 
1985/Setl'd 
Currently holds shares of: VERIZON 
Communications 
Janus 
TIAA-CREF (NYS College Savings 
Program) 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section, Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
06-02114 
Michael M. Miley vs. Citicorp Investment Services and Carol Dahl 
06/20/2007 
06-03327 
Safa Abdulrahman vs. Citicorp Investment Services and Achille Raspantini 
05/10/2007 
99-04582 
Ronald C. DiMaggio vs. Credit Lyonnais Securities, Inc. and Doug Stone 
05/22/2003 
01-06533 
Jonathan Lesnik vs. Richard W. Stopa and Frank DePasquale 
01/14/2003 
98-01457 
Wiliam J. Sarich vs. Steven Williams, Westfield Financial Corp., Dickinson & Co., Robert Todd 
09/11/2000 
Finanical Corp, et al 
94-05540 
Graham G. Sampson v. Stratton Oakmont, Inc. 
07/03/1996 
95-01803 
Bush & Bush Partners vs. Franklin Utermehle & Prudential Securities, Inc. 
02/28/1996 
93-03975 
Edith Margolies vs. Merrill Lynch Pierce Fenner & Smith Inc. 
08/22/1995 
92-04362 
George Levenderis vs. Frank DeFrancisco & Torn Reichert 
07/06/1993 
92-01835 
Alfred Mannella vs. Shearson Lehman Brothers, Inc., Erwin J. Riven and Steven Knapp 
06/14/1993 
92-02337 
Isaac M. Diller vs. Smith Barney, Harris Upham & Co. Inc. and Mark Martino 
02/23/1993 
91-02884 
William Yakal vs. Christopher Papa, Allen G. Snider and Painewebber, Inc. 
04/01/1992 
91-02475 
Peter Russell Certo, Sr. administrator and sole beneficiary of the Estate of Florence Certo vs. 
03/09/1992 
Phoenix Equity Planning 
90-01962 
Dong Ku Lee vs Wellshire Securities, Inc., William Ross, George Cooper and Michael Howard 
06/07/1991 
89-03601 
Arthur Levine et al vs Shearson Lehman Hutton, Inc. 
08/15/1990 
88-03659 
Frank J. Giaquinto vs. Dale Yeakel and John Vega 
10/27/1989 
ARBITRATOR BACKGROUND INFORMATION 
Since 1981, I have been self-employed. From 1981 to 1989, the majority of my practice consisted of litigation, both civil and 
criminal. Since 1989, my practice has consisted mostly of appellate work, and service as an arbitrator or hearing officer in a 
variety of forums. A small part of my practice is devoted to residential real estate, estate and education matters. Since 1988, I 
have served as an impartial hearing officer for the New York City Board of Education. 
Staff ID: LeeC 
Page 33 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726358

FINRA Dispute Resolution 
Arbitrator ID.
From 1977 (when I graduated law school) to 1981, I worked at two general practice law firms; and then for the Government of 
the Virgin Islands, as a prosecutor. During law school, I worked as a law clerk in the General Counsel's Office of the NASD in 
Washington. DC 
Staff ID. LeeC 
Page 34 of 75 
Publicly Available Awards Section. Current as of 
01/20/2010 
EFTA00726359

FINRA Dispute Resolution 
Arbitrator ID: 
Name: 
Arbitrator ID: 
CRD #: 
City/State/Country: 
Classification: 
FINRA Mediator: 
Chair Status: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
Mr. Harold Webb 
New York / NY / United States 
Public 
No 
Qualified 
ARBITRATOR 
Skills in Controversy: 
Account Related - Dividends, Trading Disputes - Mark-ups 
Skills in Securities: 
Annuities, Common Stock. Corporate Bonds, Hedge Fund, 
Limited Partnerships, Mutual Funds, Municipal Bonds, 
Options, Private Equities, Preferred Stock. Real Estate 
Investment Trust, Stock Index Futures, Warrants/Rights 
Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. 
EMPLOYMENT 
Start Date 
End Date 
Position 
12/2002 
Present 
Retired 
07/1995 
12/2002 
City Department of Health 
Administrative Law Judge 
07/1994 
07/1995 
Semi-retired 
06/1989 
06/1994 
US Attorneys Office Miami 
Assistant US Attorney 
01/1971 
01/1989 
US Department of Justice 
Trial Attorney 
01/1969 
01/1970 
Sands, Geller & Webb 
Attorney 
01/1968 
01/1969 
Put & Call Brokers Association 
Executive Director 
01/1960 
01/1968 
US Securities & Exchange Commission 
Enforcement Attorney 
01/1958 
01/1959 
National Labor Relations Board 
Legal Assistant/Attorney 
EDUCATION 
Start Date 
End Date 
School 
Dearee 
01/1983 
01/1987 
College for Financial Planning 
Certificate 
01/1956 
01/1959 
George Washington University 
LLB 
01/1949 
01/1953 
University of Alabama 
BS Business Administration 
TRAINING 
Completed 
Description 
Details 
Finn/School 
Hours 
Location 
03/2009 
Motion to Dismiss 
FINRA 
1 
12/2008 
Training 
Expungement - 2008 
FINRA 
1 
03/2007 
Refresher 
Revised Code of 
NASD 
2 
online 
12/2004 
Arbitration 
Expungement online 
mini-course 
NASD 
1.5 
online 
Staff ID: LeeC 
Page 35 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726360

FINRA Dispute Resolution 
06/1999 
Non-Securities Related 
Additional Arbitration 
Training 
Training 
05/1999 
Chairperson Securities 
NASD 
Training 
06/1998 
Additional Securities 
Association Bar of 
Training 
NYC- Securities 
10/1995 
Intro Securities Arbitrator 
Introductory Arbitrator 
Training 
Training 
06/1990 
Mediation Training 
US Department of 
Justice 
01/1959 
Employment Law 
George 
Training 
Washington/Labor 
7 
2.4 
7 
Arbitrator ID: 
Tvoe
Has an account with 
Initiated/defended legal action 
against 
Had an account with 
Had an account with 
Had an account with 
Had an account with 
Was Arbitrator for 
Had an account with 
Was a Member of Bar 
Association 
Is a Member of Bar Association 
Initiated/defended legal action 
against 
Initiated/defended legal action 
against 
Initiated/defended legal action 
against 
Was a Member of Bar 
Association 
Has made a disclosure about 
Initiated/defended legal action 
against 
DISCLOSURE/CONFLICT INFORMATION 
Firm Name 
Fidelity Investments 
Morgan Stanley & Co., Incorporated 
Ameritrade 
Brown & Co. 
Charles Schwab & Co., Inc. 
Merrill Lynch 
NYSE 
TD Waterhouse Investor Services, Inc. 
Details 
Morgan Stanley/DWR-decision in favor 
of clmnt-NYSE 
District of Columbia 
Federal 
Gruntal & Co., Inc. (settled) 
Haight & Co. Inc. 1960's while at the 
SEC 
Lombard & Co. 1960's while at the 
SEC 
New York 
Voluntarily permitted CFP license to 
lapse 
Walston & Co. (1969-1970 settled) 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section, Current as of 01/20/2010 
Case ID 
Case Name 
07-01980 
GunnAllen Financial v. Andrew Tressler 
06-00242 
Dr. James J. Hain. vs. Joseph Stevens & Company 
04-08270 
L.H. Ross & Company, Inc. vs. Gerald R. Sharpe, Jr., Nicholas D'Amico, Joseph Carrara and 
Dawn Sharpe 
Close Date 
03/27/2008 
11/27/2006 
07/25/2006 
Staff ID: LeeC 
Page 36 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726361

FINRA Dispute Resolution 
Arbitrator ID: 
04-02411 
Mark and Bertha Kapetanakis vs. Merrill Lynch. Pierce, Fenner & Smith, Inc., Rittenhouse 
05/01/2006 
Financial Services, et al. 
02-02465 
Dorothy Harmonay. TTEE/Trust for Benefit of S. Leo Harmonay vs. James J. Montalto, et.al v. S. 
06/24/2004 
Leon Harmonay 
01-00520 
Barbara Carpe v. Jerome Rubin, Matthew Halpert allga Jeffrey Halpert, and Alan Halpert 
06/24/2003 
00-02409 
Wall Street Access v. Jacob Newman 
12/26/2000 
99-04089 
Casey Baum vs. DU Direct, Inc. 
09/07/2000 
97-01686 
Lawrence Mendosa v. Cohig & Associates, Inc. and Jack Emerick 
03/02/1998 
ARBITRATOR BACKGROUND INFORMATION 
From 1995 through 2002. I was employed as an Administrative Law Judge, by the City of New York, on a per-diem basis. I 
primarily adjudicated health and safety code infractions. 
As a semi-retired attorney since 1994, I have handled some legal matters on a pro-bono basis. In the recent past, I was 
involved as co-counsel in a securities class action case, as well as claimant's counsel for two arbitration matters pertaining to 
broker-dealers. 
From 1989 to 1994, I was an Assistant U.S. Attorney in Miami. specializing in the enforcement of civil judgements and fines 
imposed in criminal cases. During the period 1971 to 1989. I was employed by the U.S. Department of Justice in Washington 
D.C., as a trial attorney. I worked on a variety of cases and matters relating to organized crime, bank and securities fraud, 
foreign agents, asset forfeiture and the collection of criminal fines. 
In the period 1968 to 1970. I was employed in the options industry, working for a trade association as executive director and 
subsequently, as an attorney specializing in securities litigation. 
From 1960 to 1968, I was an attorney with the U.S. Securities & Exchange Commission, in Washington, D.C. I specialized in 
investigating and litigating broker-dealer cases. 
I have an undergraduate degree in Business from the University of Alabama (1953). And a law degree from the George 
Washington University (1959). I also completed all course and examination requirements from the College of Financial 
Planning in 1987. As a result, I obtained a Certified Financial Planning (CFP) designation, which lapsed through non-use. 
From 1953 to 1955, I served as an Army Lieutenant and was honorably discharged. 
Staff ID: LeeC 
Pape 37 of 75 
Publicly Avaiable AwNds Section. Current as of 
01/20/2010 
EFTA00726362

FINRA Dispute Resolution 
Arbitrator ID: 
Classification: 
Public 
FINRA Mediator: 
Yes 
Chair Status: 
None 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
ARBITRATOR 
Name: 
Mr. Richard B. Dannenberg 
Skills in Controversy: 
Arbitrator ID: 
Account Related - Dividends, Account Related - Margin Calls, 
CRD #: 
Account Related - Transfer, Executions - Execution Price, 
Executions - Limit v. Market Order, Employment - Breach of 
City/State/Country: Purchase / NY / United States 
Contract, Employment - Discrim. Age, Employment - Discrim. 
Disability, Employment - Sexual Harassment, Employment -
Wrongful Termination, Other - Underwriting. Trading Disputes 
- Stock Loans 
Skills in Securities: 
Annuities, Commodities Futures, Limited Partnerships, Mutual 
Funds, Municipal Bonds 
EMPLOYMENT 
Start Date 
End Date 
Finn 
Position 
06/2005 
Present 
Pace Law School 
Adjunct Professor 
01/1987 
08/2008 
Lowey Dannenberg Bemporad & Selinger, PC 
Principal/Counsel 
01/1978 
01/1987 
Lowey Dannenberg & Burton L. Knapp 
Partner 
01/1974 
01/1978 
Lipper Lowey Dannenberg & Burton L. Knapp 
Partner 
01/1970 
01/1974 
Lipper Lowey & Dannenberg 
Partner 
09/1969 
05/1970 
R. Gilder & Company 
Administrative Officer 
01/1968 
01/1970 
Lipper Lowey Dannenberg & Katcher 
Partner 
01/1959 
01/1968 
Lipper Shinn Keeley & Dannenberg 
Partner 
06/1955 
12/1958 
Lipper Shinn & Keeley 
Associate Attorney 
EDUCATION 
Start Date 
End Date 
School 
flans 
09/1952 
06/1955 
Yale Law School 
LLB 
09/1948 
06/1952 
Duke University 
BA 
TRAINING 
Completed 
Description 
Details 
Firm/School 
Hours 
Location 
05/2009 
Expungement - 2008 
FINRA 
1 
03/2009 
Refresher 
Motion to Dismiss 
FINRA 
1.5 
online 
03/2007 
Training 
Revised Code of 
NASD 
2 
online 
03/2005 
Arbitration 
Expungement online 
mini-course 
NASD 
1.5 
online 
01/2005 
New Panel Member 
NASD 
11 
New York, NY 
Training [NASD) 
Staff ID: LeeC 
Page 38 of 75 
Publicly Available Awards Section. Current as of 
01120/2010 
EFTA00726363

FINRA Dispute Resolution 
01/1996 
Mediation Training 
US District Court 
Arbitrator ID: 
16 
New York, NY 
Tvoe
Has an account with 
Arbitrator for 
Was a Member of Bar 
Association 
Had an account with 
Had an account with 
Investor 
complaint/arbitration/suit 
Was a Member of Bar 
Association 
Had an account with 
Was a Member of Bar 
Association 
Had an account with 
Had an account with 
Initiated/defended legal action 
against 
Was a Client 
Had an account with 
Had an account with 
Was a Member of Bar 
Association 
Was Arbitrator for 
Licensed to Practice Law in 
Had an account with 
Is a member of 
Initiated/defended legal action 
against 
Was a member of 
Mediator for 
Had an account with 
Was a Member of Bar 
Association 
Was a member of 
Has made a disclosure about 
DISCLOSURE/CONFLICT INFORMATION 
Firm Name 
Details 
Citigroup Global Markets, Inc. 
American Arbitration Association 
American Bar Association 
Bear Steams & Co., Inc. 
CFSB 
Citigroup 
City of New York 
Fahnestodc & Co., Inc. 
Federal Bar Council 
First Fidelity 
First Union 
Gilder Gagnon Howe & Co. 
Gilder Gagnon Howe & Co., LLC 
Gilder Gagnon Howe & Co., LLC 
Merrill Lynch 
NY State Bar Association 
NYSE 
New York 
Oppenheimer & Co. 
Pace Law School 
Software Toolworks 
The Westchester Arts Council 
USDC Southern District of New York 
Wachovia Securities 
Westchester County Bar Association 
Westchester Philharmonic 
Smith Bamey 
closed 
2005 (dosed) 
1990-2003 
ceased over three years ago 
retired 
Pace Investor Rights Project 
Over 10 years ago 
Trustee (2000-2008) 
Certified (1996 - present) 
Director and Treasurer 
Former law firm brought action ag b/ds 
'68-'04 
Case ID 
Case Name 
Staff ID: LeeC 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01120/2010 
Page 39 of 75 
Close Date 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726364

FINRA Dispute Resolution 
Arbitrator ID: 
There is no award information. 
ARBITRATOR BACKGROUND INFORMATION 
Admitted to the New York Bar since December 1955. Assisted in 1968 in the formation of the predecessor firm to Gilder 
Gagnon Howe & Company, LLC, presently at 1775 Broadway, N.Y. ("Gilder), a registered broker-dealer and member of the 
New York Stock Exchange. I and my law firm acted as outside counsel to Gilder for more than 36 years, principally for 
regulatory matters (ceased in 2004). 
For more than 40 years engaged in complex litigation principally involving federal and state securities matters. Totally familiar 
with broker-dealer law, and familiar with the 1933 Act, the 1934 Act and the two 1940's Acts. In the 1960's, co-lead counsel 
before Judge Bonsai in the Texas Gulf Suphur class actions. Argued and prosecuted Deutschman v. Beneficial Finance, 
involving the right of purchasers of options to prosecute a class action under Section 10(b) and Rule 10b-5 of the 1934 Act. 
Lead counsel before Judge Vaughn Walker of the Northern District of California in the Oracle class action. Have prosecuted 
numerous civil actions in Delaware Chancery Court involving issues of corporate governance. 
Since mid-1996, have served as a mediator in the federal mediation program for the Southern District of New York, 
administered by George O'Malley. Esq.. 
Presently, an adjunct professor at Pace Law School, teaching and acting as a faculty supervisor for the securities arbitration 
clinic of the John Jay Legal Services, Inc., working with Professors Barbara Black and Jill Gross. 
Have participated actively or as supervising counsel in a dozen or more arbitrations before the NASD on behalf of claimants or 
respondents (mostly respondents). 
Presently serve as a member of the advisory counsel of Par.* Investor Rights Project of Pace Law School. 
From 1968 to 1970, I was an allied member of the New York Stock Exchange and a principal of R. Gilder & Company, Inc., a 
predecessor firm to Gilder Gagnon Howe & Co., LLC, and for approximately two years,worked at the firm as chief administrator 
(having left my law practice). 
Presently, since January 5, 2004, acting as counsel to the law firm of Lawey Dannenberg Bemporad & Selinger, P.C., White 
Plains, NY, with which finn,or its predecessor firms I was previously associated for more than 49 years, either as an associate, 
partner or principal. See supplement to Question 7 for the names of the predecessor firms. 
Other. Present outside interests: Trustee of the Westchester Arts Council and an Executive Committee member and on its 
Finance Committee. Formerly, ad director and Treasurer of the Westchester Philharmonic. 
Staff ID: LeeC 
Page 40 of 75 
Publicly Available Awards Section, Current as of 
01O0/2010 
EFTA00726365

FINRA Dispute Resolution 
Arbitrator ID: 
Classification: 
Public 
FINRA Mediator. 
No 
Chair Status: 
Qualified 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
ARBITRATOR 
Name: 
Ms. Pamela H. Roderick 
Skills in Controversy: 
Arbitrator ID: 
Account Related - Dividends. Account Related - Margin Calls, 
CRD tr: 
Account Related - Transfer. Executions - Execution Price, 
Executions - Limit v. Market Order, Employment - Breach of 
City/State/Country: 
Brooklyn / NY / United States 
Contract, Employment - Commissions, Employment -
Compensation, Employment - Discrim. Age, Employment -
Discrim. Disability, Employment - Discrim. Gender, 
Employment - Discrim. National Origin. Employment -
Discrim. Race, Employment - Discrim. Religion, Employment -
Employment Discrimination, Employment - Discrim. Sexual 
Orientation, Employment - Retaliation, Employment -
Wrongful Termination, Other - Clearing Disputes, Other -
Recruitment Disputes. Other - Underwriting. Trading Disputes 
- Mark-ups, Trading Disputes - Other Floor Trading. Trading 
Disputes - Stock Loans 
Skills in Securities: 
Common Stock, Corporate Bonds. Fannie Mae. Freddie 
Macs. Ginnie Maes, Government Securities, Hedge Fund, 
Limited Partnerships, Mutual Funds, Municipal Bonds, 
Municipal Bond Funds, Options, Private Equities, Preferred 
Stock, Real Estate Investment Trust, Structured Products, 
Warrants/Rights 
EMPLOYMENT 
Start Date 
End Date 
Firm 
Position 
11/1988 
Present 
Self-Employed 
Freelance Writer 
01/1986 
11/1988 
Albert Frank-Guenther Law 
Account Executive 
03/1985 
12/1985 
Investment Dealers Digest 
Writer 
03/1984 
03/1985 
CBS Radio Network 
Editor 
11/1981 
10/1982 
YVMER/Net New England Radio 
Reporter 
06/1979 
07/1981 
WINS Radio 
Reporter 
05/1976 
12/1978 
WHN Radio 
News Assistant 
01/1971 
08/1976 
State Senator Roy M. Goodman 
Press Secretary 
07/1968 
01/1971 
Fairchild Publications 
Copywriter, Reporter 
01/1968 
07/1968 
Office of Mayor 
Research Assistant 
01/1967 
12/1967 
Central Intelligence Agency 
Junior Analyst 
EDUCATION 
Start Date 
End Date 
School 
21EILTZ 
09/1962 
06/1966 
Wheaton College 
BA Government 
Completed 
Description 
Staff ID: LeeC 
TRAINING 
Details 
Firm/School, 
Hours 
Location 
Page 41 of 75 
Publicly Available Awards Section, Current as of 
01120/2010 
EFTA00726366

FINRA Dispute Resolution 
Arbitrator ID: 
04/2009 
Motion to Dismiss 
FINRA 
1 
Training 
01/2009 
Expungement - 2008 
FINRA 
1 
online 
Refresher 
04/2007 
Revised Code of 
NASD 
2 
online 
Arbitration 
01/2006 
Direct Communication 
NASD 
1 
online 
Rule 
08/2004 
Expungement online 
mini-course 
NASD 
1.5 
online 
03/2002 
New Chairperson 
NASD 
11 
New York, NY 
Training [NASD) 
03/1997 
Employment Law 
NASD 
3 
New York, NY 
Training 
11/1994 
Participatory Arbitrator 
NASD Discovery in 
2.5 
New York, NY 
Skills Program 
Arbitration 
10/1993 
Arbitrator Luncheon 
NASD Pro se Parties 
2.5 
New York, NY 
08/1993 
Arbitrator Luncheon 
NASD 
New York, NY 
04/1993 
Employment Law 
NASD 
2 
New York, NY 
Training 
09/1992 
Intro Securities Arbitrator 
NASD 
3 
New York, NY 
Training 
DISCLOSURE/CONFLICT INFORMATION 
Tvne 
Firm Name 
Details 
Has an account with 
Neuberger Berman Management Inc. 
Had an account with 
Has an account with 
Has an account with 
Had an account with 
Has an account with 
Neuberger Berman (has) 
Dreyfus Service Corp. (had) 
Janus Funds 
Northeast Investors Trust (has) 
Strong Cap. Management (had) 
Vanguard (has) 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
08-03999 
Louis Basel and Penelope Basel vs. Wachovia Securities LLC and Neophytos Ganiaris 
06/19/2009 
07-00476 
Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator v. Great Eastern 
04/29/2008 
Securities, Inc., et al. 
07-00312 
Harold I. Geringer & Jeff G. Mallouk for Estate of George Mallouk v. Citigroup Global Markets, 
11/09/2007 
Inc. and Otto John Betz 
06-02193 
Jan Forysiak v. Scottrade, Inc. and Dennis Doherty 
05/03/2007 
05-03301 
John Chen v Citigroup Global Markets, Inc 
05/24/2006 
05-00837 
Henry Schiff and Joan Schiff vs. Citigroup Global Markets, Inc., and Bear, Steams & Co.. Inc. 
03/31/2006 
03-04316 
Victor J. Closi and Phyllis A. Closi v. Bernard McGee d/b/a McGee Financial Services, Royal 
08/12/2004 
Allince Associates, Inc,etal 
01-01865 
Philip A. DeVincentis v. Dalton Kent Securities Group, Inc., and Bret Grebow 
06/19/2003 
01-00657 
James S. Turner v. Citigroup, Inc. and Citicorp Securities Services, Inc. 
01/28/2003 
01-03148 
Wiliam F. Reichenbach & Joan D. Reichenbach v. A.G. Edwards & Sons, INc. 
01/09/2002 
Staff ID: LeeC 
Pape 42 of 75 
Publicly Available Awards Section. Current as of 
01/20/2010 
EFTA00726367

FINRA Dispute Resolution 
Arbitrator ID. 
01-02546 
Andres Ordonez v. E'Trade Securities. Inc. 
11/01/2001 
98-02030 
Eugene C. Partyka vs. Martial Chiong 
02/24/1999 
96-05292 
Voula and Constantine Salonitis vs. State Street Capital Markets, Inc. and George Christodoulou 
04/29/1998 
97-00546 
Letitia Fabiani vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John A. Busco 
11/14/1997 
95-00409 
Harold E. Bluestone v. Douglas Getzke 
04/30/1997 
95-05501 
Ruth W. Rosenfield v. A.J. Michaels & Co., Ltd., Robert Murphy and A. Korogodon 
03/06/1997 
94-04974 
Richard A. Sattler and Patricia Sattler JTTEN vs. Charles Parisio 
05/14/1996 
94-01664 
Omar Aslaoui v. Shearson Lehman Brothers 
11/27/1995 
94-00747 
Colesi Limited vs. Dean Witter Reynolds. Inc. 
06/20/1995 
92-04018 
Barry Kazatsky and Beverly Kalisher vs. Jerome Glickman, Bear Stearns & Co., Inc. and Cowen 
03/01/1994 
& Co.. 
91-02967 
Arcadio Casillas vs. Whale Securities Co. and Cowen and Company 
02/10/1994 
92-03573 
Gayle E. Brookfield vs. Joe Vazza, David Sims. Michael Zirpolo, Fred Mitchell & Merrill Lynch 
09/09/1993 
Pierce Fenner & Smith 
92-02715 
Eugene Koalkin vs. Prudential Securities. Inc. and Selig Ratchick 
08/04/1993 
92-00606 
Gary Loupassakis and Joyce Loupassakis vs. Prudential-Bache Securities. Inc.. Jeffrey Moruzzi 
and Nunzio Garzino 
03/19/1993 
91-03843 
Patricia Gennarelli vs. Fahnestock & Co. Inc. and Marc Andor Menton 
12/22/1992 
92-00243 
Diane L. Errickson vs. Shearson Lehman Brothers. Inc. 
09/03/1992 
ARBITRATOR BACKGROUND INFORMATION 
As a freelance writer specializing in finance and business. I have written about issues as diverse as private placements, 
brokers' ethics, vulture funds, international joint ventures and market regulation for publications covering business finance, 
asset management, global investing and the securities markets. 
I also work as an editor, writer and public relations/marketing consultant for various financial, business and education projects, 
such as initial public offerings, new business development, annual reports, promotional brochures, direct mail and media 
relations. My background is in news, business journalism and government. 
After majoring in government at Wneaton College in Massachusetts, I went to Washington. DC, spent one year analyzing data 
on Chinese economics for the CIA, then fled back to New York. After a few months of research for Mayor John Lindsay's 
speech writer. I went to work in business journalism for Fairchild Publications. Almost three years later, I was lured back into 
government by a State Senator for whom I had done volunteer work and who wanted me to set up a constituent service office. 
After six years as an ombudsman, community liaison and then press secretary. I veered into news radio and spent many years 
in broadcasting, both on the air and behind the scenes. Eventually I returned to the written word, where I have remained. 
Staff ID. LeeC 
Page 43 of 75 
Publicly Available Awards Sect.on. Current as of 
01/20/2010 
EFTA00726368

FINRA Dispute Resolution 
Arbitrator ID: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
ARBITRATOR 
Name: 
Ms. Alice J. P. Lee-Getman 
Skills in Controversy: 
Arbitrator ID: 
There are no skills in controversy information. 
CRD #: 
City/State/Country: New York / NY / United States 
Classification: 
Public 
Skills in Securities: 
FINRA Mediator: 
No 
There are no skills in security information. 
Chair Status: 
None 
EMPLOYMENT 
Start Date 
End Date 
Firm 
Position 
08/2005 
03/2007 
AMEX/RSM McGladrey 
Manager 
01/2004 
01/2005 
Consulting 
Various 
05/2003 
10/2003 
PSCH, Inc. 
Director of Accounting 
01/2002 
Present 
Arbitrator/Consulting Accountant 
Various Positions 
05/1999 
01/2002 
Cosmopolitan Gem Corporation 
Director of Accounting 
09/1997 
04/1999 
Brenton International Inc. 
Controller 
07/1995 
01/1996 
Names For Dames 
Director Accounting 
07/1994 
05/1995 
Philip Whitney 
Controller 
03/1993 
07/1994 
Nakash Brothers Realty 
Controller 
03/1991 
01/1993 
Russ Togs, Inc. 
Assistant Controller 
11/1989 
03/1991 
Unity Healthcare Holding 
Assistant to VP 
06/1986 
11/1989 
Global Technology Group 
Accounting Manager 
EDUCATION 
Start Date 
End Date 
School 
Degree 
08/1983 
06/1986 
Wagner College 
MBA Management 
09/1969 
06/1974 
Tamkang University 
BBA Accounting 
09/1963 
06/1969 
Taoyuan High School 
not provided 
TRAINING 
Completed 
Description 
Details 
Finn/School 
Hours 
Location 
01/2009 
Expungement - 2008 
FINRA 
1 
Refresher 
07/2007 
Revised Code of 
NASD 
2 
online 
Arbitration 
12/2004 
Expungement online 
NASD 
1.5 
online 
mini-course 
Staff ID: LeeC 
Page 44 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726369

FIRM Dispute Resolution 
Arbitrator ID: 
09/1996 
Intro Securities Arbitrator 
NASD 
7 
New York, NY 
Training 
DISCLOSURE/CONFLICT INFORMATION 
Type 
Firm Name 
Details 
Has an account with 
Charles Schwab & Co., Inc. 
Charles Schwab & Company, Inc. 
Has an account with 
TD Waterhouse Investor Services, Inc. 
TD Waterhouse 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
08-03221 
Song Sop Choe vs. Fordham Financial Management, Inc. 
04/24/2009 
05-02827 
CIBC World Markets Corporation v. Michael Sassano 
11/17/2008 
04-00465 
Herbert and Rose Lieberman vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Steven N. 
02/18/2005 
Jaenichen 
03-01215 
Magda Bondy and Sandra Peters vs. Salomon Smith Barney and David Yvars 
03/05/2004 
01-00374 
Robert Ehrenspeck, Ronald Kilbride, et al v. Dean Petkanas, Frank Fackovec, Michael Kooyman, 
et al 
05/13/2003 
01-03436 
Richard Martens v. Cory D. Lev and Salomon Smith Barney 
04/03/2002 
99-04549 
Yochanan Kalilmi Youssian vs. Intercontinental Equities, Inc Thomas P. Knight and Roger L. 
12/03/2001 
Smolik 
ARBITRATOR BACKGROUND INFORMATION 
With more than thirteen years of increasing responsibilities in both large and small corporate environments, I have developed a 
diversified background with extensive experience in business operational management and financial reporting, including 
G.A.A.P compliance and general accounting skills. 
I have had hands-on experience in designing financial reporting systems, implementing automated accounting systems, and 
devising internal control systems. In addition, I have interacted directly with banking and lending institutions and managed 
treasury functions during times of economical stress. 
Staff ID: LeeC 
Page 45 of 75 
Publicly Available Awards Section, Current as of 
01/202010 
EFTA00726370

FINRA Dispute Resolution 
Arbitrator ID: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
ARBITRATOR 
Name: 
Mr. John G. Kennedy 
Skills in Controversy: 
Arbitrator ID: 
Employment - Compensation, Employment - Wrongful 
Termination 
CRIO 
C
 
i
 
t
y
 
/
S
t
e
 
t
e
 
/
C
 
o
 
u
 
n
t
r
y
 
:
 
Bayville NY / United States 
Classification: 
Public 
Skills in Securities: 
FINRA Mediator: 
No 
There are no skills in security information. 
Chair Status: 
None 
EMPLOYMENT 
Start Date 
End Date 
Firm 
Position 
07/2002 
Present 
Village of Bayville 
Associate Village Justice 
07/2002 
Present 
John G. Kennedy, P.C. 
Independent Arbitrator 
10/2000 
07/2002 
Unemployed 
03/1996 
10/2000 
Capetola & Doddato, P.C. 
Counsel 
01/1991 
03/1996 
Unemployed 
06/1986 
06/1988 
Unemployed 
09/1977 
06/1986 
LIU, CW Post College 
Adjunct Professor 
01/1958 
06/2002 
Nassau County Police Department 
Deputy Commissioner of 
Police 
EDUCATION 
Start Date 
End Date 
School 
Degree 
06/1988 
01/1991 
Hofstra University, School of Law 
JD 
06/1976 
10/1977 
LIU, CW Post College 
MA Professional Studies 
06/1972 
02/1976 
LW, CW Post College 
BA 
01/1968 
06/1972 
Nassau Community College 
AAS 
Completed 
Description 
TRAINING 
Details 
Finn/School 
Hours 
Location 
01/2009 
Expungement - 2008 
FINRA 
1 
Refresher 
10/2007 
Non-Securities Related 
Labor Arbitrator II 
AAA 
Training 
07/2007 
Revised Code of 
NASD 
2 
online 
Arbitration 
06/2005 
New Chairperson 
NASD 
11 
online 
Training [NASD] 
08/2004 
Expungement online 
mini-course 
NASD 
1.5 
online 
Staff ID: LeeC 
Page 46 of 75 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726371

FINRA Dispute Resolution 
09/2003 
New Panel Member 
NASD 
Training [NASD] 
Arbitrator ID: 
11 
Boca Raton, FL 
Type 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Has an account with 
Arbitrator for 
Is a member of 
Arbitrator for 
Is a member of 
Is a member of 
Is a member of 
Is a member of 
Is a member of 
Is a Member of Bar Association 
Is a member of 
Is a member of 
Is a member of 
Is a Member of Bar Association 
Arbitrator for 
Was Arbitrator for 
Is a member of 
Is a member of 
Arbitrator for 
Is a Member of Bar Association 
Is a Member of Bar Association 
DISCLOSURE/CONFLICT INFORMATION 
Finn Name 
BNYHamilton Distributors, Inc. 
Citistreet Equities LIc 
HSBC Brokerage (USA) Inc. 
Northwestern Mutual Investment Services. Llc 
Nuveen Investments, LIc 
T. Rowe Price Investment Services, Inc. 
Treasury Direct 
American Arbitration Association 
Detectives Association 
Federal Mediation & Concilation Service 
Friendly Sons of St. Patrick 
Global Arbitration Mediation Association 
Industrial Relations Research Association 
International Association of Chiefs of Police 
NCPD Superior Officers Association 
Nassau County 
Nassau County Magistrates Association 
Nassau Health Care Corporation 
National Arbitration Forum 
New York State 
New York State Employment Relations Board 
New York Stock Exchange 
Police Benevolent Association 
Society of Federal Labor Relations Professionals 
Suffolk County Public Employment Relations 
Board 
US District Court - Eastern District of NY 
United States Supreme Court 
PUBLICLY AVAILABLE AWARDS 
Pubdicly Available Awards Section. Current as of 01,20/2010 
Case ID 
Case Name 
08-03001 
Jarod C. Winters vs. Barclays Capital Inc. and Barclays Bank PLC 
06-04123 
Ronald Hancock v. Bearguard Financial Services, et al 
Close Date 
01/05/2010 
05/23/2007 
Staff ID: LeeC 
ARBITRATOR BACKGROUND INFORMATION 
Page 47 of 75 
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FINRA Dispute Resolution 
Arbitrator ID: 
I was employed by the Nassau County Police Department for the past 44 years in all phases of law enforcement. I retired in 
June 2002 at the rank of Deputy Police Commissioner. At that time my main duties included the administration of the 11th 
largest Police Department in the United States, with a budget in excess of $600 million dollars, employing 2,800 sworn 
members of the Force and 1.900 civilian members of the Department. During my course of employment with the Department, I 
was cross-designated by the United States Custom Service and United States Marshal's Service as a Special Agent. 
Presently, I serve as the Director of the Department's Crime Stoppers program, and since 1995, I have served as Legal 
Counsel to the Nassau County Police Department Pipes and Drums Band. 
Since my retirement from the Police Department, I have been designated as one of a six-member rotating arbitration panel 
conducting grievance arbitrations between various employers and members of the UFCW Local 342, UFCW Local 174 and 
UFCW Local 50 unions. Additionally, I am the designated arbitrator for these unions for all matters involving delinquent 
contributions to their Affiliated Trust and Pension Funds, which are required under various collective bargaining agreements. I 
am a member of the Society of Federal Labor Relations Professionals, the Industrial Relations Research Association and the 
National Arbitration Forum. 
In addition, on July 15, 2002, I was appointed as an Accnriate Village Justice in the Village of Bayville Court hearing various 
cases involving violations of the NYS Vehicle and Traffic Law, violations of Village Ordinances, and other matters coming to the 
attentions of the Court. 
I continue as the general research assistant and technical advisor to best selling author Nelson DeMille for his novels Plum 
Island (1997), Lions Game (1999), Up Country (2002), Night Fall (2004)and Wld Fire (2006), each published by Warner Co. 
Further, I am a contributing author of the Criminal and Civil Investigation Handbook, published by McGraw Hill 1981, Revised 
1992. 
I received a Bachelor of Arts degree and a Master in Professional Studies degree from Long Island University, C. W. Post 
College and from 1977 to 1986, I was employed by LIU, C. W. Post College as an Adjunct Professor in the Department of 
Criminal Justice. 
In 1991, I received the degree of Juris Doctor from Hofstra University School of Law and am admitted the New York State Bar, 
the United States Supreme Court and the United States District Court - Eastern District of New York. 
Experience: 
Contract Interpertation 
Staff ID: LeeC 
Page 48 of 75 
Publicly Available Awards Section. Current as of 
01/20/2010 
EFTA00726373

FINRA Dispute Resolution 
Arbitrator ID: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01115/2010 
ARBITRATOR 
Name: 
Mr. Peter Dixon Trinkle 
Skills in Controversy: 
Arbitrator ID: 
Account Related - Transfer, Executions - Execution Price 
CRD #: 
City/State/Country: Brooklyn / NY / United States 
Classification: 
Public 
Skills in Securities: 
FINRA Mediator: 
No 
Annuities. Mutual Funds, Variable Annuities 
Chair Status: 
None 
EMPLOYMENT 
Start Date 
End Date 
Finn 
Position 
02/2008 
Present 
Kaplan Professional 
Instructor 
01/2003 
Present 
Self employed 
Freelance Writer 
10/2000 
01/2003 
Worldinsure 
Director 
02/1995 
10/2000 
John Hancock 
Manager 
05/1994 
02/1995 
Unemployed 
Start Date 
End Date 
School 
College 
EDUCATION 
Degree 
09/1990 
05/1994 
Skidmore 
BA 
TRAINING 
Completed 
Description 
Details 
Firm/School 
Hours 
Location 
09/2009 
Expungement - 2008 
Read FAQ 
FINRA 
1 
01/2008 
Refresher 
Revised Code of 
FINRA 
2 
online 
08/2004 
Arbitration 
Expungement online 
mini-course 
NASD 
1.5 
online 
03/2004 
New Panel Member 
NASD 
11 
Newark, NJ 
Training [NASD] 
DISCLOSURE/CONFLICT INFORMATION 
Tvoe 
Has an account with 
Has made a disclosure about 
Family Member has relationship 
with 
Has an account with 
Had an account with 
Staff ID: LeeC 
Firm Name 
Bank of America 
Bank of America 
Citigroup Global Markets, Inc. 
Citigroup Global Markets, Inc. 
Charles Schwab & Co.. Inc. 
Page 49 of 75 
Details 
Acquired Quick and Reilly, Inc. 
Brother-in-law employed 
Smith Barney 
Publicly Available Awards Section, Current as of 
01/20/2010 
EFTA00726374

FINRA Dispute Resolution 
Was employed by 
Had an account with 
Had an account with 
Licensed to Practice 
Held Securities License(s) 
John Hancock 
Quick and Reilly, Inc. 
Southwest Securities 
Arbitrator ID: 
Closed in 1998 
Life, accident and health in all fifty 
states 
Series 6, 7, 24, 26, 63 & 65 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
03-08740 
Gaetano J. Aglione, Beverly Agfione, Gaetano J. Aglione IRA, et al v. American Express 
11/30/2004 
Financial Advisors, Inc. 
ARBITRATOR BACKGROUND INFORMATION 
I am presently an Instructor with Kaplan Professional and a freelance writer in Brooklyn. NY. 
From 2000 to 2003. I served as a Director and Officer of the Worldinsure Corporation. My responsibilities included hiring 
operational staff, attaining nationwide insurance licensing in the United States and Canada. and supporting our sales efforts. 
During my tenure, I attained my Life, Accident and Health License in all fifty states. 
From 1995 to 2000, I worked for John Hancock Signature Services. My responsibilities included managing their call center 
operations, the recording and execution of variable life and annuity fund transfers and working with other departments to ensure 
compliance with NASD, SEC and State audits. While at John Hancock I received my Series 6, 7, 24, 26, 63 & 65 licenses. 
Two years have elapsed since I worked for a broker dealer. 
Staff ID: LeeC 
Page 50 of 75 
Publicly Available Awards Section. Current as of 
01/26/2010 
EFTA00726375

FINRA Dispute Resolution 
Arbitrator ID: 
Arbitrator Disclosure Report 
Report reflects information provided by the arbitrator through 01/15/2010 
ARBITRATOR 
Name: 
Mr. Edward G. Toptani 
Skills in Controversy: 
Arbitrator ID: 
There are no skills in controversy information. 
CRD #: 
City/State/Country: New York / NY / United States 
Classification: 
Public 
FINRA Mediator: 
No 
Chair Status: 
Qualified 
Skills in Securities: 
There are no skills in security information. 
Injunctive Qualified - This arbitrator is an attorney and has reported experience litigating cases involving injunctive relief. 
EMPLOYMENT 
Start Date 
End Date 
Firm 
LFoiltia 
07/1991 
Present 
Toptani Law Offices 
Founder/Attomey 
10/1987 
06/1991 
Shearman & Sterling 
Associate 
06/1986 
08/1986 
Shearman & Sterling 
Summer Associate 
06/1985 
08/1985 
Mckenna, Conner & Cuneo 
Summer Associate 
08/1983 
05/1984 
Congressman Robert Torricelli 
Legislative Assistant 
05/1983 
07/1983 
World Bank 
Research Assistant 
05/1983 
07/1983 
Youth Policy Magazine 
Editor in Chief 
06/1982 
08/1982 
Alliance for Justice 
Intern 
EDUCATION 
Start Date 
End Date 
School 
Degree 
01/1984 
01/1987 
University of Michigan 
JD 
01/1979 
01/1983 
University of Michigan 
AB 
TRAINING 
Completed 
Description 
Details 
Firm/School 
awn a 
09/2009 
Expungement - 2008 
Read FAQ 
FINRA 
1 
02/2009 
Refresher 
Revised Code of 
FINRA 
2 
online 
02/2005 
Arbitration 
Expungement online 
mini-course 
NASD 
1.5 
online 
03/1999 
New Chairperson 
NASD 
11 
location varies 
01/1994 
Training [NASD) 
Intro Securities Arbitrator 
NASD 
4 
New York, NY 
Training 
11/1993 
Participatory Arbitrator 
Tools of the Arbitration NASD 
2 
New York, NY 
Skills Program 
Process 
Staff ID: LeeC 
Page 51 of 75 
Publicly Available Awards Section. Current as of 
01/2012010 
EFTA00726376

FINRA Dispute Resolution 
Arbitrator ID: 
Type
Initiated/defended legal action 
against 
Initiated/defended legal action 
against 
Has an account with 
Had an account with 
Is a member of 
Is a Member of Bar Association 
Is a Member of Bar Association 
Initiated/defended legal action 
against 
DISCLOSURE/CONFLICT INFORMATION 
Firm Name 
Details 
Goldman Sachs & Co. 
The Goldman Sachs Group, Inc. 
Trade-Well Discount Investing, LLC 
Merrill Lynch Pierce Fenner & Smith 
New Media Association 
Tradewell Discount Brokers 
New York 
American Bar Association 
New York 
Stuart Coleman & Co. 
PUBLICLY AVAILABLE AWARDS 
Publicly Available Awards Section. Current as of 01/20/2010 
Case ID 
Case Name 
Close Date 
07-00945 
Leslie Cox-Colon v. Citigroup Global Markets Inc. f/k/a Solo mon Smith Barney, Inc. and Loretta 
10/15/2009 
Chiofolo 
09-00367 
Alan Gelband & Co. Defined Contribution Pension Plan & Trust vs. TD Ameritrade, Inc. 
07/08/2009 
07-02940 
Don Chaifetz v. E*Trade Securities LLC 
07/25/2008 
03-00537 
Lake Company LLC and Riverview Company LLC vs. James J. McLaughlin and McLauglin, 
03/02/2007 
Piven, Vogel Securities, Inc. 
04-08636 
Roslyn Berger v. Salomon Smith Barney, Inc. 
06/14/2006 
03-07032 
James C. Dooley v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. 
06/01/2005 
02-00661 
Fahnestor-k & Co., Inc., v. Sands Brothers & Co., Ltd. Dan Maurer, Brian Bartlett, Eric Cardenas, 
et al. 
02/17/2005 
03-09242 
Steven and Beth Price vs. American Express Financial Advisors, Inc. and William Tassey 
02/14/2005 
03-06742 
Eric Raphael vs. Robert Morris and James Kessler 
07/12/2004 
03-02447 
Jerome and Laura Goldberg vs First Union Securities, Inc. and James D. Routhier 
06/29/2004 
01-03483 
Andreas Wiener, Sue Klavans Simring and Steven S. Simring vs Paul Croitoroo and Bear, Sterns 
02/24/2003 
& Co., Inc. 
02-02101 
Larry Shiller v. TD Waterhouse Investor Services, Inc. 
09/05/2002 
00-01646 
Imaginative Business & Marketing Ltd. v. Laidlaw Global Securities, Inc., et al 
08/14/2001 
98-03690 
Susan B. Georges vs. CIBC Oppenheimer Corp. and Richard B. Fee 
12/12/2000 
00-00837 
Napoleon Georgatos v. New Times Securities Services Inc., Michael Silk 
11/14/2000 
99-03919 
Fred Olinsky and Beatrice Olinsky v. Neil Okun and Gruntal & Co., Inc. 
10/18/2000 
98-04417 
Janet Pasquale vs. Harvey Block, Oppenheimer & Co. Inc., Carrie Cimino and Alden Capital 
10/10/2000 
93-05302 
Seymour Sobel, Robert Chaut, Jay and Barbara Stein vs. Smith Barney, Harris Upham & Co. 
08/07/1996 
93-03101 
Dr. Carl Pagano, TTEE/PSRP vs. Melbourne GSI Corp. and Joel Heusler 
12/14/1994 
92-02331 
Sidney W. Barbanel v. Napex Financial Corp. v. FSC Securities Corporation 
03/03/1994 
Staff ID: LeeC 
ARBITRATOR BACKGROUND INFORMATION 
Page 52 of 75 
Put** Available Awards Section. Current as of 
01/20/2010 
EFTA00726377