Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Robert Connell (Respondent) Case Number: 10-03486 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Karen P. Gaster, Esq. and Christopher S. Koll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexandra Gennano (Claimant) vs. Menill Lynch, Pierce, Fenner and Smith Incorporated (Respondent) vs. Jennifer Gennano (Third-Party Respondent) Case Number: 10-01204 Hearing Site: Boston, Massachusetts Nature of the Dispute Initial Claim: Customer vs. Member. Third-Party Claim: Member vs. Customer. Public Arbitrator Pilot Program/Majority Public Panel REPRESENTATION OF P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01620 Donald G. Eckrod Name of the Respondent Hearing Site: Richmond, Virginia E*Trade Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donald G. Eckrod, hereinafter referred to as "Claimant": W. Scott Greco, Esq., Greco & Greco, P.C, McLean, Virginia. For E*Trade Securities, LLC, hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04908 Stamford Y. Niou Names of the Respondents Hearing Site: Richmond, VA Howard D. Hardin Laurie A. Hardin Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Stamford Y. Niou, hereinafter referred to as "Claimant": Susan Poder MacFariane, Executive Director, Legal and Compliance, Morgan Stanley

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00569 Kory B. Hummer Names of the Respondents Hearing Site: Richmond, Virginia H. Beck, Inc. Richard Ganz Vanderbilt Securities, LLC Fixed Income Management Group, Inc. Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Kory B. Hummer, hereinafter referred to as "Claiman

Award FINFIA Dispute Resolution In the Matter of the Arbiti'ation Between: Claimants Case Number: 09-07154 Beth M. Goldman Jay Boekeiheide Goidman-Boekelheide Family Tmst Beth M. Goldman IRA Rollover (1) Beth M. Goldman IRA Rollover (2) Jay Boekeiheide IRA Jay Boekelhekle Film KEOGH Respondents Hearing Site: San Francisco, California Lincoln Financial Advisors Corporation Stewart John Viets Phillip Joseph Cordano Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-07032 Citigroup Global Markets, Inc. Name of Respondent/Counter-Claimant Hearing Site: San Diego, California Suzanne LaTour Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Citigroup Global Markets, Inc., hereinafter refen'ed to as "CGMI" or "Claimant": Catania T. Facher, Esq. and Just

Award FINF^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06884 Stanley G. Kazezski Lillian J. Kazezski Kazezski Revocable Trust DTD 09/26/90 Name of Respondents Hearing Site: San Francisco, California Wedbush Morgan Securities, Inc. Lisa Ann Gallo Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Stanley G. Kazezski, Lillian J. Kazezski,

Award FINRA Dispute Resolution In the Matter of the Arbitrations Between: Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent/Counter-Claimant James E. Gracia Consolidated with: Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Respondent/Counter-Claimant Roger Esquibel And; Claimant/Counter-Respondent Wells Fargo Advisors, LLC f/k/a Wachovia Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lauren Vitagliano and Jeanine Thompson (Claimants) vs. Empire Financial Holding Company, Empire Financial Group, Inc., Jesup & Lament, Inc., John James Wilson, and George Tamborello (Respondents) Case Number. 08-00584 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Members, Non Member, and Associated Persons. REPRESENTATION OF PARTIES Claimants