Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael O' Connor (Claimant) vs. Noel Fleming (Respondent) Case Number: 10-02710 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Michael O'Connor, hereinafter referred to as "Claimant" appeared pro se. Respondent Noel Fleming, hereinafter referred to as "Respondent": Todd A. Zuckerbrod, Esq., Todd A. Zu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eugene N. Barron (Claimant) vs. Scott & Stringfellow, Inc. a/k/a Scott & Stringfellow, LLC (Respondent) Case Number: 10-01995 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Eugene N. Barron, hereinafter referred to as "Claimant": Christopher J. Gray, Esq., Law Office of Christopher J. Gray, P.C., New York, NY. Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Estate of Seymour Niesen by and through its Co-Executors Miriam Niesen and Andrew Niesen (Claimant) vs. Hennion & Walsh, Inc. (Respondent) Case Number: 10-01485 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant The Estate of Seymour Niesen by and through its Co-Exectuors Miriam Niesen and Andrew Niesen, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: O. Robert Marino and Linda Marino (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Inc., Banc of America Securities LLC, Klaus Miller, and The Hoey Group (Respondents) Case Number: 10-01484 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members, Associated Person, and Non-Member. REPRESENTATION OF PARTIES Claimants O. Robert Marino ("Robert Mar

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carole Abramovitz vs. Wells Fargo Advisors, LLC (Respondent) Case Number: 10-00492 IHearing Site: New York, New York Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimant Carole Abramovitz, hereinafter referred to as "Claimant": Jake Zamansky, Esq., Zamansky & Associates, LLC, New York, NY. R

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Brian J. Wiegand (Respondent) Case Number: 09-06045 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Catania Fachor, Esq., and Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.C., New York, NY. Respo

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Robert Petrowski vs. Names of Respondents Jon Goldstein, Kyle Kerkenbush, and Amanda Gausewitz and Name of Counter-Claimant Jon Goldstein vs. Name of Counter-Respondent Robert Petrowski Case Number: 10-02517 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Associated Persons REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mohan Selvardj vs. Case Number: 09-05115 Hearing Site: Chicago, Illinois Name of Respondent Thinkorswim, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mohan Selvardj ("Claimant") was represented by Christopher J. Murdoch, Esq., Holland & Knight, LLP, Chicago, Illinois. Thinkorswim, Inc. ("Respondent") was represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Bebveen: Claimants Case Number: 10-02276 Robert W. Ralston Susan B. Ralston Respondents Hearing Site: Los Angeles, Califomia Syndicated Capital, Inc. and Paul H. Heckler d/b/a Yosemite Capital Management Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert W. Ralston and Susan B. Ralston, hereinafter referred to collecti

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-03178 Michael Popick Respondent Hearing Site: Denver, Colorado Wells Fargo Advisors, LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Michael Popick, hereinafter refen^ed to as "Claimant": Russell K. Bean, Esq., Cianahan, Beck & Bean, P.O., Denver, Colorado. Respondent, Wells Fargo Advisors, LLC, hereina