AWARD FINRA DISPUTE RESOLUTION CASE: 10-04181 Wells Fargo Advisors, LLC (Claimant) vs. Marc Chait (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors LLC, St. Louis, MO. For Respondent appeared Brian D. Buckstein, Esq., Brian D. Buckstein, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03648 Deanna M. Maher, Trustee of Deanna M. Maher Living Trust dated August 1, 2005 (Claimant) vs. Allstate Financial Services, LLC and Daniel Hackett (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Holland, Ml. For Respondents appeared Samantha Tesser Haimo, Esq., Yoss LLP, Fort Lauderdale, FL NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 10, 2010 CASE SU

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03300 Sandra K. Johnson Names of the Respondents Hearing Site: Columbia, South Carolina Andrew Garrett Inc. David Scaffe Andrew Garrett Sycoff Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandra K. Johnson, hereinafter referred to as "Claimant": Sarah G. Anderson, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04274 Marc A. Miller Name of the Respondent Hearing Site: Tampa. Florida Edward D. Jones & Co., LLP Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Marc A. Miller, hereinafter referred to as "Claimant": George L. Guerra, Esq. and AI Villoch, Esq., Wiand Guerra King P.L., Tampa, Florida. For Edwar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04089 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. Name of Respondent Hearina Site: San Francisco, California Luis Morales Nature of Dispute: Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc., hereinafter refered to as "Claimant

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimant Case Number: 10-02854 Lisa Ann Detanna Name of Respondent Hearina Site: Los Angeles, California Margaret Smith Nature of Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Lisa Ann Detanna, hereinafter referred to as "Detanna" or "Claimant": Scott E. Rahn, Esq., Greenberg Traurig, LLP, Santa Monica, California. Respondent, M

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 09-06216 Whitney Sack Corderi Names of the Respondents Hearina Site: Miami, Florida Chicago Investment Group, LLC Thomas Francis McCarviil Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Whitney Sack Corderi, hereinafter referred to as "Claimant": Richard A. Roth, Esq., The Roth Law Fi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04939 Wells Fargo Advisors, LLC (Claimant) vs. Michael Alexander (Respondent) REPRESENTATION OF PARTIES: For Claimant: Christopher S. Griesmeyer, Esq., Greiman, Rome & Griesmyer, PC, Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("Note"). RE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-07065 Maria Elena Henrichs Name of Respondents Hearing Site: Phoenix, Arizona Workman Securities Corporation Attila Gyula Toth Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Maria Elena Henrichs, hereinafter referred to as "Claimant": Jeffrey Gardner, Esq., and Timothy J. Sabo, Esq., R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 08-03114 Howard D. Coleman, individually and as trustee of The Coleman Family Trust U/T/A 1/18/1992 and Rhoda B. Coleman, individually and as trustee of The Coleman Family Trust U/T/A 1/18/1992 Name of Respondent Hearing Site: Los Angeles, California Citigroup Global Markets Inc. Nature of Dispute: Customers vs. Member REPRESENTATIO