STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Investment Professionals, Inc. vs. Case Number: 09-04752 Hearing Site: San Antonio, Texas Name of Respondent Joshua Canaan Freeman, Sr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Investment Professionals, Inc. ("Claimant" or "IPI") was represented by Karen A. Monsen, Esq., Jackson Walker, LLP, San Anto

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03575 RBC Wealth Management, a division of RBC Capital Markets Corporation (Claimant) vs. Larry Galia (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Abe Lampart, Esq., Law Offices of Abe Lampart, P.C., San Francisco, CA. Respondent appeared pro se, El Dorado Hills, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 9, 2010 CASE SUMMARY: Claimant asserted the following cause

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04180 Wells Fargo Advisors, LLC (Claimant) vs. Steven J. Hering (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Carolyn LaMar, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent appeared pro se, Seattle, WA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 17, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Claim Da

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy Burnett (Claimant) vs. Dresdner Kleinwort Securities LLC (Respondent) Case Number: 10-01617 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Timothy Burnett, hereinafter referred to as "Claimant" appeared pro se. Respondent Dresdner Kleinwort Securities LLC, hereinafter referred to as "Respondent": K

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04005 Wells Fargo Advisors, LLC (Claimant) vs. Silas Atsalis (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Thomas H. Tucker, Esq., Law Offices of Thomas H. Tucker, Duxbury, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: b

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02017 Jadwiga Piskozub (Claimant) vs. Citigroup Global Markets, Inc., and Martin Jankowski (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Nicole Grospe, Christine Goodrich, and Jill Gross, Esq., John Jay Legal Services, Inc., White Plains, NY. For Respondents appeared Elizabeth E. Mourn, Esq., Greenberg Traurig, P.A., West Palm Beach, FL. NATURE OF DISPUTE: Customer v. Member and Associated Pers

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03462 Terrance Eastin and Deanne Eastin (Claimants) vs. Carol Lee Vehmeyer (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Terrance Eastin, Phoenix, AZ. For Respondent appeared Edward J. McNamara, Esq., J.P. Morgan Chase & Co., Chatsworth, CA. NATURE OF DISPUTE: Customers v. Associated Person DATE FILED: July 30,2010 CASE SUMMARY: Claimants asserted the following cause of action: misrepresentatio

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00933 Oppenheimer & Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Richard J. Plevy Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc. hereinafter collectively referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Wort

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02446 Church Resource Ministries Respondents Hearing Site: Los Angeles, California Charles Schwab & Co., Inc. John Conley Thatcher Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Church Resource Ministries, hereinafter referred to as "Claimant": John Halebian, Lovell Stewart Halebian LLP, New Y

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanne of Claimant Case Number: 10-00578 Linda Soitis Name of Respondents Hearing Site: San Francisco, California Chase Investment Services Corp. (fonnerly WAMU Investments Inc.) Ben Pang Szeto Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Soitis hereinafter referred to as "Claimant": Brett Alan Alcala, Esq. and