Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Doris Cacace (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 09-03222 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Doris Cacace, hereinafter referred to as "Claimant": Nicholas J. Taldone, Esq., Law Office of Nicholas J. Taldone, Clean^^ater, FL. Respondent Ameriprise Financial Service

Amended Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 10-01997 Anne Bradshaw Respondents Hearing Site: Anniston, Alabama Wachovia Securities, LLC Nancy Lipham Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne Bradshaw, hereinafter referred to as "Claimant": Jeff S. Daniel, Esq., Law Office of Jeff S. Daniel, P.C., Bimningham, Alabama and Dougla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06014 Anthony Balzebre Dorothy Balzebre Balzebre Alpha LP Name of the Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Anthony Balzebre ("A. Balzebre"), Dorothy Balzebre ("D

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Leslie Ebeling, Leslie J. Ebeling, Custodian of his IRA, and Janice R. Ebeling vs. Names of Respondents Okoboji Financial Services, Inc., Donahue Edwin Jones, Ralph Stacey Schneider, and Ralph Roberts Schneider Case Number: 10-01715 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Terminated Member and Associa

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Services, Inc. vs. Name of Respondent Terri Jo Evans Case Number: 10-04211 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Claimant") was represented by Edward Walton, Esq., Ameriprise Financial, Detroit, Michigan. Ter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Donald BunA/ell and Marjorie Burwell vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 09-03967 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Donald Bunvell and Marjorie Bun^^ell ("Claimants") were represented by Bruce D. Oakes, Esq., Oakes & Fisher, LLC, St. Louis, Missouri.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joel T. LeVahn and JOlene M. LeVahn vs. Case Number: 09-03299 Hearing Site: Minneapolis, Minnesota Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and Peter Eckeriine Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Joel T. LeVahn and Jolene M. LeVahn, hereinafter collectively referred to as "Claimants," we

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number 10-03249 Raymond F. Mendez and Margaret A Mendez Revocable Trust Name of Respondent Hearing Site: Albuquerque. New Mexico Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Raymond F. Mendez and Margaret A. Mendez Revocable Trust, hereinafter referred to as "Claimant": Raymond F. Mendez,

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02564 Pandora Bronson Lupino Respondents Hearing Site: Norfoll< , VA Jeffrey Alan Martinovich Jeffrey Stephen Geraci Brian Matthew Krovic Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTiES For Pandora Bronson Lupino, hereinafter referred to as "Claimant": Theresa (Terry) Joseph, Power of Attorney, Pandora

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dennis D. Soderstrum vs. Case Number: 10-02369 Hearing Site: Des Moines, Iowa Names of Respondents Berthel Fisher & Company Financial Services, Inc. and Ronald S. Helland NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dennis D. Soderstrum ("Claimant") was represented by Brenton D. Soderstrum, Esq., Br