AWARD FINRA Diapute Reaolution In the Matter of the Aribitration Between: Name of Claimant Beveriy Coryn, Individually and on Behalf of her IRAs ^3 Case Number: 09-05681 Hearing Site: Indianapolis, Indiana Name of Respondent Ogilvie Security Advisors Corporation '^A'^tP^QPTHg DISPUTE Customer vs. Member Rf PRgSENTATIQN OF PARTIES Beverly Coryri, Individually and on Behalf of her IRAs ("Claimant") was represented by Majk E. Maddox, Esq

AWARD FINRA Diaputa Reaolutlon In the Matter of the Arbitration Between: Name of Claimant Mari< Cerny, as Trustee of the Jerome F. Cerny Revocable Trust and the Blance Mary Cerny Revocable Trust vs. Case Number: 09-06651 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. and UBS Financial Services, Inc. NATURE OF THE DISPUTE Customer VS. Members REPRESENTATIQN OF PARTIES Mari< Cerny, As Trustee of

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Raymond James & Associates, Inc. vs. Name of Respondent / Counter-Claimant Steve Nolen Case Number: 09-05303 Hearing Site: Indianapolis, Indiana NATURE OF THE DiSPUTE Member vs. Associated Person REPRESENTATIQN OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Keili Bullington, Esq., The Raymond Jame

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimant Case Number: 09-02704 Wachovia Securities, LLC Respondent Hearina Site: Los Angeles. California Marie Joseph Robles Counter-Claimant Mark Joseph Robles Counter-Respondent Wachovia Securities, LLC Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wachovia Securities

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05790 Global Wealth Care Group, L.L.C. Name of the Respondent Hearing Site: New Orleans, Louisiana Craig C. Babineaux Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Global Wealth Care Group, L.L.C, hereinafter referred to as "Claimant": Bruce V. Schewe, Esq., Phelps Dunbar LLP, NewOrieans, Louis

AWARD Award Data Award: $25,000.00 Punitive: $0.00 Pre-judgment Interest: $5,525.00 Attorneys' Fees: to be determined by a court of competent jurisdiction in the State of Florida Costs: $1,148.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $25,000.00. 2)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stewart and Frieda Fuhrmann JT TEN (Claimants) vs. TD Ameritrade, Inc. (Respondent) Case Number: 10-01015 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Stewart and Frieda Fuhrmann JT TEN hereinafter referred to as "Claimants": Stewart Fuhrmann, Barnegat, NJ. Respondent TD Ameritrade, Inc., hereinafter referre

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02680 Elizabeth A. Stana Name of the Respondent Hearing Site: Atlanta, Georgia Invesco Aim Distributers, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Elizabeth A. Stana, hereinafter referred to as "Claimant": Jason R. Doss, Esq. and Joy L. Doss, Esq., The Doss Firm, LLC, Marietta,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05050 Jeffrey Penner Phyllis Penner Name of the Respondent Hearing Site: Boca Raton, Florida Herbert J. Sims & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeffrey Penner and Phyllis Penner, hereinafter collectively referred to as "Claimants": Jason S. Haselkorn, Esq. and Matthew N. Thibaut

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02082 Donald F. Hanks Names of the Respondents Hearing Site: Oriando, Florida Raymond James & Associates, Inc. Susan Saunders Betty Saunders Heritage Asset Management Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Donald F. Hanks, hereinafter referred to as "Claimant," a