Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Adeyinka Adedeji (Claimant) vs. Fidelity Investment Institutional Services (Respondent) Case Number: 10-01473 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Adeyinka Adedeji, hereinafter referred to as "Claimant" appeared pro se. Respondent Fidelity Investment Institutional Services by Order of the Arbitrator herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. John P. Downs (Respondent) Case Number: 09-06101 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Ross Carmel, Esq. and Yana Kromo, Esq., Alonso, Andalkar, Toro, Facher& Macavoy, New Yor

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04456 George Lee Tallman, Jr., and Barbara V. Tallman (Claimants) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Julie Wilson Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customers vs. Member DATE FILED: October 1, 2010 C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stanley Goldman, Executor of The Estate of Harvey Rosner, Deceased vs. Names of Respondents U.S. Bancorp Investments, Inc. and Kristen Hummel Case Number: 10-01456 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Stanley Goldman, Executor of The Estate of Harvey Rosner, De

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05227 Morgan Stanley Smith Bamey, LLC (Claimant) vs. Ben E. Rosenberg (Respondent) REPRESENTATION OF PARTIES: For Claimant: Diane C. Fischer, Esq. and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, Illinois For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 16, 2010 CASE SUMMARY: Claimant asserted the following causes of action: Breach of pro

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smith Bamey. LLC vs. Case Number: 10-03294 l-iearing Site: Houston, Texas Name of Respondent Kevin Meredith McCoy, II NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Barney, LLC ("Claimant") was represented by Kenneth O'Connor, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02681 Paul H. Ratzlaff, individually and on behalf of his IRA rollover accounts Name of the Respondent Hearing Site: Tampa, FL Morgan Stanley Smith Barney, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Paul H. Ratzlaff, individually and on behalf of his IRA rollover accounts, hereinafter collectively

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06883 Wells Fargo Advisors, LLC, F/K/A Wachovia Securities, LLC Name of the Respondent Hearing Site: Los Angeles, California Daniel Carmo Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC F/K/A Wachovia Securities, LLC, hereinafter referred to as "Claimant": Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05592 Wells Fargo Advisors Financial Networic Name of Respondent Hearing Site: Los Angeles, California James Queen Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors Financial Network, hereinafter referred to as "Claimant": Gregorys. Tendrich, Esq., GregoryTendrich, P.A., Boca Raton, F

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimants Case Number: 10-01547 Cyndi R. Olejar Living Trust DTD 11/29/98 Sonya J. Olejar Living Trust DTD 12/14/98 Name of Respondent Hearing Site: Seattle, Washington TD Ameritrade, Inc. Nature of Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Cyndi R. Olejar Living Trust DTD 11/29/98 and Sonya J. Olejar Living Trust DTD 12/14/98, herein