AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Gary D. Kennedy vs. Case Number: 10-03312 Hearing Site: Chicago, Illinois Names of Respondents Fifth Third Securities, Inc., Joseph Russell Reedy, and Tanika Chere Edmonds NATURE QF THE PIgPUTE Customer vs. Member and Associated Persons REPRESENTATION QF PARTIES Gary D. Kennedy ("Claimant") was represented by Thomas H. Kennedy, Esq., Springfi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-02766 Brent Richtsmeier Name of Respondents Hearing Site: Los Angeles, Califomia Jack Kalisz National Securities Corporation Joseph Stevens & Company, Inc. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Brent Richtsmeier, hereinafter referred to as "Claimant": Joshua A. Waldman,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cleveland Currie and Maria Currie (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-02155 Hearing Site: New York, New Yofk Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Cleveland Currie ("C. Currie") and Maria Currie ("M. Currie"), hereinafter collectively referred to as "Claimants": Theodore G. Eppenstein, Esq., Eppen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Steven Mandala (Respondent) Case Number: 09-04453 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Christopher S. Koller, Esq., and Jason K. Roberts, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services (Claimant) vs. Anthony Diaz (Respondent) Case Number: 10-00784 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Raymond James Financial Services, hereinafter referred to as "Claimant": Susan E. Harkins, Esq., and Brady J. Hermann, Esq., Michaels, Ward & Rabinowitz, LLP, Boston

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: US Ain/vays, Inc. (Claimant) v. Roland Hansalik, Lars Jacobson, George Barclay Perry, and Joseph Arena (Respondents) Case Number: 09-06905 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons. REPRESENTATION OF PARTIES Claimant US Ain^/ays, Inc., hereinafter referred to as "Claimant": Stephen Davidson, Esq., and Michael J. Baratz, Esq., Steptoe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CIBC World Markets Corp. (Claimant) vs. Juan Antonio Bermudez, Jr. (Respondent) Case Number: 09-05747 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CIBC World Markets Corp., hereinafter referred to as "Claimant": Joseph J. Sullivan III, Esq., Sheindlin & Sullivan, LLP, Brooklyn, NY. Respondent Juan Antoni

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert M. Ragsdale, Individually and as a Beneficiary of an IRA vs. Case Number: 10-01606 Hearing Site: Houston, Texas Names of Respondents Morgan Stanley & Co., Incorporated and Morgan Stanley Smith Barney NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Robert M. Ragsdale, individually and as a Beneficiary of an IRA ("Cl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04549 UBS Financial Services, Inc. (Claimant) vs. Frank D. Baudille (Respondent) REPRESENTATION OF PARTIES: For Claimant: Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 11, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howard R. Wilkov, M.D. and The Wilkov Family Limited Partnership (Claimants) vs. Ameriprise Financial Services, Inc. (Respondent) vs. Jennifer Wilkov (Third-Party Respondent) Case Number: 09-03961 Hearing Site: New York, New York Nature of the Dispute Initial Claim: Customers vs. Member Third-Party Claim: Member vs. Associated Person Public Arbitrator Pilot Program/All P