AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Clainnants Margaret C. Lyddon and The Margaret C. Lyddon Rev. Trust vs. Names of Respondents Bankers & Investors Co. and MRM Asset Allocation Group, Inc. Case Number: 10-01982 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Member and Non-Member REPRESENTATION OF PARTIES Margaret C. Lyddon ("Lyddon") and The Margaret C. Lyd

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05428 Elephant Enterprises, Inc. (Claimant) vs. Edward Jones (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles O'Sullivan, Polk City, FL. For Respondent appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 29, 2010 CASE SUMMARY: Claimant alleged monetary damages in connection with liquidation of their account. C

AWARD FINRA DISPUTE RESOLUTION CASE:, i 0-05057 George W! Frpyd (Claimant) vs. Brian Sohovich and Edward Jones (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared John F. Hanzel, Esq., John F. Hanzel, P.A., Cornelius, NC. For Respondents appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associated Person and Member DATE FILED: November 8, 2010 CASE SUMMARY: Claimant asserted the following cau

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: John Vincent Gramins (Claimant) vs. Oppenheimer & Co.. Inc. (Respondent) Case Number: 10-03192 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant John Vincent Gramins, hereinafter referred to as "Claimant: Steven N. Berk, Esq., Ruddy Law Office, PLLC, Washington. DC. Respondent Oppenheimer & Co., Inc., hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01490 Jack Wm. Windt, individually and as trustee of the Jack Wm. Windt Revocable Living Trust U/A DTD 6/18/1998 Respondents Hearing Site: Tampa, FL Jesup & Lament Securities Corp., as successor-in-interest to Empire Financial Group, Inc. Edward Martin Rosenberg Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CITGO Petroleum Corporation and PDV Holding, Inc. (Claimants) vs. FTC Capital Markets, Inc., FTC Emerging Markets Inc., FTC Holdings, LLC, Guillenno David Clemens, and Line Lopez (Respondents) Case Number: 09-02964 Hearinc Site: New York, New York Nature of the Dispute: Customers vs. Member, Non Members, and Associated Persons. REPRESENTATION OF PARTIES Claimants CITGO Petroleum

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-03932 Vernon E. Zurick Name of Respondents Hearing Site: Denver, Colorado Shelley Bergman Bear Stearns & Co., Inc. J.P. Morgan Securities, inc. Bear Stearns Asset Management, Inc. Bear Stearns Securities Corp., a.k.a. J.P. Morgan Clearing Corp. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Bellantuono and Anthony Gusmano (Claimants) vs. ICAP Securities USA LLC (Respondent) Case Number: 09-00567 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Joseph Bellantuono ("Bellantuono") and Anthony Gusmano ("Gusmano"), hereinafter collectively refemed to as "Claimants": Douglas H. Wigdor, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02976 Bernard Moskowitz Names of the Respondents Hearing Site: Miami, Florida Jack Patterson Raymond James Financial Services, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernard Moskowitz, hereinafter refenred to as "Claimant": Walter J. Mathews, Esq., Walter J. Mathews, P.A.. F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 10-01652 RBC Capital Markets Corporation Name of the Respondent Hearing Site: Norfolk, Virginia James Godsey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Capital Markets Corporation, hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., Mc Canliss & Early, LLP, New Yoric, New Yori< . For