Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01142 TD Amerltrade, Inc., a New Yori< Corporation Respondent Hearing Site: Raleigh, North Carolina Adeline Cerveira, an Individual Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For TD Ameritrade, Inc., a New York Corporation, hereinafter referred to as "Claimant": R. Matthew Ingraham, Esq., TD Ameritrade. Inc., Bellevue, N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01897 Deborah Gandy Respondent Hearing Site: Washington. D.C. Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Deborah Gandy, hereinafter referred to as "Claimant": Patricia L. Payne, Esq., Payne & Associates, Washington D.C. For Citigroup Global Markets Inc., hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02723 Carmen Gordo-Martino Respondents Hearing Site: San Juan, Puerto Rico UBS Financial Services Inc. of Puerto Rico Eric Snyder Magda Brocco Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Camnen Gordo-Martino, hereinafter referred to as "Claimant": Ralph Vallone Jr., Esq., Ralph Vallone Law Of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01695 Clifl'ord B. Newton Dorothy L. Newton Names of the Respondents Hearing Site: Jacksonville, Florida SunTrust Bank. Thomas William Shaw Nature of the Dispute: Customer vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For Clifford B. Newton and Dorothy L. Newton, hereinafter collectively referred to as "Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05242 Morgan Stanley Smith Barney, LLC Name of Respondent Hearing Site: Los Angeles, California Kurtis Linn Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Ton-ance, California.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 10-02818 Lloyd Wiborg and Jane S. Wiborg, Individually and as Trustees of the Jane S. Wiborg Trust dtd 7/28/86 Amendment and Complete Restatement dtd 4/17/96 Name of Respondent Hearing Site: San Francisco, California Pacific West Securities, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Lloyd Wibor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01568 Stephen Kelleher Respondents Hearing Site: San Francisco, California Wedbush Securities Inc. f/k/a Wedbush Morgan Securities Inc. Edward W. Wedbush Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Stephen Kelleher, hereinafter referred to as "Claimant" or "Kelleher": David H.S. Com

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00497 Joel F. Kaufman Nancy B. Kaufman Respondents Hearing Site: Baltimore, MD Morgan Stanley Smith Barney LLC Tom Howes Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joel F. Kaufman and Nancy B. Kaufman, hereinafter referred to as "Claimants," appeared pro se. For Morgan Stanley Smith Barney

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00477 Michael Armstrong and Michael Armstrong, IRA Respondents Hearina Site: Los Angeles, California Madison Avenue Securities, Inc. David L. Carlson Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Michael Armstrong and Michael Armstrong, IRA, hereinafter referred to collectively as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-03711 Financial West Group Name of Respondent/Counter-Claimant Hearing Site: Los Angeles, Califomia Shall Vithaldas Mehta Name of Third Partv Claimant Shail Vithaldas Mehta Name of Third Partv Respondent American Funds Nature of Dispute: Member vs. Associated Person Associated Person vs. Member Associated Person