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FINRA Awards for Lipper Fixed Income Fund

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0313903/02/2010Claimant(s): Kenneth Lipper, Lipper & Company., Lipper & Company, L.P., Lipper Partners
Claimant Lawyers(s): Catherine M. Foti
Respondent(s): Lipper Convertibles, L.P. (Richard Willi, Lipper Fixed Income Fund, L.P. by Richar
Respondent Lawyers(s): Ronald D. Shindler, Thomas A. Dubbs
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Alice J. P. Lee-Getman
Hearing Site: New York, NY
08-0361003/02/2010Claimant(s): Lipper Convertibles, L.P. by Richard Wil, Lipper Fixed Income Fund, L.P. by Richar
Claimant Lawyers(s): Thomas A. Dubbs
Respondent(s): Kenneth Lipper
Respondent Lawyers(s): Catherine i M. Foti
Arbitrator(s):
Hearing Site: New York, NY

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