Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimants Case Number: 09-04880 Craig & Kathleen Juntunen Living Trust Name of Respondents Hearing Site: Phoenix, Arizona Merrill Lynch, Pierce, Fenner & Smith Incorporated Jeffry Dean Korte Richard Mark Wilson Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Craig & Kathleen Juntunen Living Trust, herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01957 "Bruce" Faramarz Moghaddam-Jafary Respondents Hearing Site: Los Angeles, California Ameriprise Financial Services, Inc. Ameriprise Financial, Inc. a/k/a American Express Financial Corporation Nature of Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant, "Bruce" Faramarz Moghaddam-Jafary, hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number. 07-02708 Dennis Flier, Inc. Defined Benefit Tmst Flier Family Trust DTD 1 /21 /98 Carol Flier Nicole Dana Flier First Savings Bank C/F Dennis Flier IRA R&N Real Estate Investments LP Robert L Verchota General Partners The Duffy 1986 Trust DTD 6/18/86 John and Diane Maguire Living Trust 8/4/00 Mirtha M. Bancs Family Trust U/A 3/26/98

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05736 Wells Fargo Advisors, LLC Name of the Respondent Hearing Site: Chariotte, North Carolina Clifford J. Watts. Ill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Deborah G. Evans, Esq. and Brady J. Hermann, Esq., Michaels, Wanj & R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00145 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Homer Vining Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Edward Walton, Counsel for Ameriprise Advisor Services, Inc., Detroit, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Herbert and Dorthy Thiry Case Number: 07-01216 Name of the Resoondents Brookstreet Securities Corporation; Keevin Gillespie; Scott Lee Magallanes; Steve Skytte; and Robert E. Schultz Hearino Site: Albuquerque, New Mexico Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Herbert Th

Case Number: 09-05147 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Customer vs. Associated Persons REPRESENTATION OF PARTIES MAXXAM, Inc. ("Claimant" or"MAXXAM") was represented by Jack C. Nickens, Esq., McGuire Woods, LLP, Houston, Texas and Paul D. Flack, Esq., The Law Office of Paul Flack, Houston, Texas. Timothy Claude Ford ("Ford") and Kevin Douglas Laurie ("Laurie"), hereinafter collectively referred to as "Respondents," were represented by P

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edwin Christensen (Claimant) v. Rocco Mongelli, David Dube, and Peak Securities (Respondents) Case Number: 09-06914 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Edwin Christensen, hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard A. Marin (Claimant) vs. Bany S. Burdick, as tmstee of the Barry S. Burdick Living Tmst, Rackley Inv. L.P., through its general partner, Clifford Rackley, Tall Trees, LLC, through its managing member, Ronald L. Greene, and Racetrac Petroleum, Inc. (Respondents) Case Number: 10-02603 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers. R

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03355 Jeffrey R. Olson (Claimant) vs. Ralph Thomas Gannett and Cullum & Burks Securities, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Wisconsin Dells, Wl. Respondent Ralph Thomas Gannett appeared pro se, Madison, Wl. Respondent Cullum & Burks Securities, Inc., did not enter an appearance in this matter. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: July 23,