Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07099 Daniel M. Bishop Name of the Respondents Hearing Site: Portland, Oregon Vicki Lee Moffatt AFS Brokerage, Inc. Evolve Securities, Inc. Hartford Securities Distribution Company, Inc. Hartford Equity Sales Company Inc. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00335 Araceli Camien Fonseca Name of the Respondents Hearing Site: Los Angeles, California Ameriprise Financial Services, Inc. Brett Jerome Saddler Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Araceli Carmen Fonseca, hereinafter referred to as "Claimant": Marie C. Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dolores A. Smith Insurance & Associates, LLC vs. Case Number: 09-00830 Hearing Site: Minneapolis, Minnesota Name of Respondent/Third-Partv Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Name of Third-Party Respondent Kenneth J. Marchiol NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dolores A. Smith Insuranc

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Behveen: Name of Claimant Oppenheimer & Company, Inc. vs. Case Number: 09-01670 Hearing Site: Minneapolis, Minnesota Name of Respondent Lance K. Morque NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Company, Inc. ("Oppenheimer" or "Claimant") was represented by Ellen Sheridan-Cona, Esq., Oppenheimer & Company, Inc. unfil Februar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Emma Zilber, Leon Zilber, and Jason Kim (Claimants) vs. Penson Financial Services, Inc., Samco Capital Markets, Inc., and Investcape Inc. (Respondents) vs. David Yair and Investcape, Inc. (Third Party Respondents) Case Number: 09-03618 Hearing Site: New York, New York Nature of the Disputes Initial Claim: Customers vs. Members. Third Party Claim: Member vs. Customer and Member.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04771 Morgan Stanley Smith Bamey, LLC (Claimant) vs. Denise Roochio (Respondent) REPRESENTATION OF PARTIES: For Claimant: Ira N. Glauber, Esq., Jaffe & Asher LLP, New York, NY, Respondent did not enter an appearance. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2010. CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note. RELIEF REQUESTED: In t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David H. Mcintosh and Terri S. Mcintosh (Claimants) vs. RBC Capital Markets Corporation (Respondent) Case Number: 09-07170 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants David H. Mcintosh ("D. Mcintosh") and Terri S. Mcintosh ("T. Mcintosh"), hereinafter collectively referred to as "Claimants": Debra G. S

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Fidelity Brokerage Sen/ices, LLC (Claimant) vs. Philip Beninati (Respondent) Case Number: 10-02885 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, LLC, hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Richmonds and Co., LLC, Wellesley Hills, MA. Respondent, Philip B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Diana Swan (Respondent) Case Number: 09-04338 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Daniel H. Wirth, Esq., Brock, Clay, Calhoun & Rogers, LLC, Marietta, GA. Respondent Diana Swan, hereinafte

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02316 Robert M. Paff Jay Wilen Names of the Respondents Hearing Site: Baltimore, Maryland AXA Advisors, LLC AXA Network, LLC Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Robert M. Paff and Jay Wilen, hereinafter collectively referred to as "Claimants": David W.