FINRA Awards for Dorothy Jones

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
08-03782	05/10/2013	Claimant(s): Alyce Johnson, Andrew Balistreri, Anita Robertson, Ann Solomon, Ardeth Ullman, Barbara Grant, Beulah Flood, Carmen Yaskewich, Carol Brochini, Cary Tremewan, Catherine Hanoum, Darlene Harris, David Hinkel, Diane Kinzli, Donald King, Doreen Elkins, Dorothy Jones, Duncan Grant, Ernest Kinzli, Frank Thomas, et al Claimant Lawyers(s): Patrick Baldwin Respondent(s): Ruthe Gomez, Financial Networks Group, NDX Trading., Traderight Securities. Respondent Lawyers(s): Christopher Nelson, Michael J. Rukujzo, Patrick Baldwin Arbitrator(s): James N. D'Orso, M. Scott Donahey, Rahul K. Surana Hearing Site: San Francisco, CA		$4,277,740
06-02039	02/29/2008	Claimant(s): David Morrill, Dorothy Jones, Gale Peregrin, Nancy Morrill, William Tierney, Walter Bell and Caroline Bell, Miami Magnet Co. Profit Sharing Plan, The Gale Peregrin Trust Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Legend Equities Corporation Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Joseph L. Bernstein, Marc S. Piven, Louis David Huss Hearing Site: Boca Raton, FL		$142,156