Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01817 Karl Cross Names of the Respondents Hearing Site: Fort Lauderdale, Florida Robert Russini E-Trade Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kart Cross, hereinafter referred to as "Claimant": Christopher M. David, Esq., David and Joseph, P.L., Miami, FL.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01716 Bill Allen Larry D. Hammonds Culmon G. Dixon Chester E. Goff Billy Chesney Clyde E. Moseley Thomas Glenn Hulbert Richard E. Bosarge, Sr. Wilson T. Miller Jimmie J. Gammage James B. Gully James Franovich Reed A. Bond John E. Rogers, Sr. Jimmie G. Schafer Raymond Boyd Beckham Names of the Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02607 Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site: Orlando, Florida Thomas B. Spartz Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Justin A. Goldberg, Esq. and Eri

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01835 Oren Inbar (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Irvine, CA. For Respondent appeared Julie A. Kole, Esq., San Francisco, CA and Meredith A. Faro, Esq., FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 15, 2010 CASE SUMMARY: Claimant alleged that Respondent mishandled his trailing stop loss order.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01357 Joseph Griglak (Claimant) vs. Joseph P. Riccelli (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Bound Brook, NJ. For Respondent appeared Brian A. Carlis, Esq., Stark & Stark, Princeton, NJ. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: March 19, 2010 CASE SUMMARY: Claimant alleged that Respondent committed financial fraud by not disclosing that he could have liquidated h

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-02947 Wells Fargo Advisors, LLC, formerly Wachovia Securities, LLC (Claimant) vs. Mark D. Hatton (Respondent) REPRESENTATION OF PARTIES: For Claimant: Kenneth O'Connor, Esq., Lubiner & Schmidt, L.L.C. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 24, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promisso

AWARD FiNRA Dispute Resolution in the Matter of the Arijitration Between: Name of Claimant Wells Fargo Investments, LLC vs. Name of Respondent Dennis R. Creasbaum Case Number: 09-04482 Hearing Site: Chicago, Illinois NATURgnF-fff^pic^p^fTFj Member vs. Associated Person REPRESgMTi|TinK| op p^pTirn Dennis R. Creasbaum O'Respondenf*) appeared pro se. CASE IMF^Piyii^yi^^ The Statementof Claim was filed on or about Jiiiv 97 onno TU^O u

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01990 James E. Rice and Trudy C. Rice (Claimants) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pawleys Island, SC. For Respondent appeared Meredith Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: April 26, 2010 CASE SUMMARY: Claimants alleged a monetary loss as a result of Respondent's failure to set the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Raymond T. Rosati and Patricia M. Rosati (Claimants) v. HSBC Securities (USA), Inc. and Michael Bowen (Respondents) Case Number: 09-05445 Hearing Site: Buffalo. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Raymond T. Rosati ("T. Rosati") and Patricia M. Rosati ("M. Rosati"), hereinafter collectively referred to a

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07175 Sagepoint Financial, Inc. Names of the Respondents Hearing Site: New York, New York Vincent J. Camarda and Kathleen Camarda Nature of the Dispute: Member vs. Associated Person and an Individual. REPRESENTATION OF THE PARTIES For Sagepoint Financial, Inc., hereinafter referred to as "Claimant": Howard Elisofon, Esq