Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06267 Arthur L. Rodriguez Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley Smith Barney, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Arthur L. Rodriguez, hereinafter referred to as "Claimant": Robert C. Stokes III, Esq., Robert C. Stokes III, P.A., Tampa, Florida. For Morgan Stan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05421 Randall Fausak Name of the Respondent Hearing Site: New Orleans, Louisiana Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Randall Fausak, hereinafter referred to as "Claimant": Adam J. Gana, Esq.. Napoli Bern Ripka, LLP, New York, New York. For Morgan Keegan & Co.. Inc., h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00500 Marcia R. Sternlieb Names of the Respondents Hearing Site: Clearwater, Florida Brookstreet Securities Corp. National Financial Sen/ices, LLC Stanley Brooks The Brooks Family Trust Jason Woessner Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For Marcia R. Stern

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Joseph Morrow (Respondent) Case Number: 10-04310 SITUS: Hartford, Connecticut. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Claimant Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levine, PLLC,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02508 Joseph Mendola (Claimant) vs. The Citigroup Private Bank (Respondent) REPRESENTATION OF PARTIES: For Claimant Marc A. Susswein, Esq., Liddle & Robinson, L.L.P., New York, NY. For Respondent appeared Ira G. Rosenstein, Esq., Orrick, Herrington & Sutcliffe LLP, New York, NY. NATURE OF DISPUTE: Non-Member v. Non-Member DATE FILED: May 27, 2010 CASE SUMMARY: Claimant asserted the following causes of action: u

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Meyer (Claimant) vs. Christopher D. Bingham, Michael Ray Steinrich, Jean- Michel Robiou, and E*Trade securities, LLC (Respondents) Case Number: 09-00381 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Thomas J. Meyer, hereinafter referred to as "Claimant", appeared pro se. Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: . Names of Claimants George Arzymanow and Christine Arzymanow Case Number: 09-00313 Hearing Site: Houston, Texas Name of Respondent UBS Financial Services, Inc. NATURE QFTHir^Jl^yI fTf- Customers VS. Member REPRESEMTATIQM OF PART^f=5} George Arzymanow and Christine Arzymanow ("Claimants") were represented by Kristin Wilkinson. Esq., The Wilkinson Law Firm, Housto

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00490 Vahik Minaiyan Name of the Respondents Hearing Site: Los Angeles, California Citigroup Global Markets. Inc. Michael Joseph Mildon Lena Thomas Richard Ai McKusick Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Vahik Minaiyan, hereinafter referred to as "Claimant": Vahi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-04048 George Toskey Ginette Toskey Respondents Hearing Site: Seattle, Washington Charles Schwab & Co., Inc. Wendy T. Britten Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, George Toskey and Ginette Toskey, hereinafter collectively referred to as "Claimants": James A. Smith, Jr., Smi

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00889 Black Rose Equity Management (Claimant) vs. Donald E. Williams (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Sandra P. Espinosa, Esq., Lax & Neville, LLP, New Yorl^, NY. Respondent appeared pro se, Portland, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 24, 2010 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract Claiand m unjusData