Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francis X. Flannery and Anne S. Flannery (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 09-03651 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Francis X. Flannery ("Francis Flannery") and Anne S. Flannery ("Anne Flannery") hereinafter collectively referred to as "Claimants"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04531 Bonnie M. Shoultz Name of the Respondents Hearing Site: San Diego, California Joshua Jason Billauer Ralph Thomas Bryan Christopher Thomas Kozo Wachovia Securities, LLC Robert Alan Wolter Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Bonnie M. Shoultz. hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-03174 Leon S. Kaplan Name of the Respondents Hearing Site: San Francisco. Califomia Stone & Youngberg, LLC Jeffrey D. Green David J. Lowi William A. Evans III Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Leon S. Kaplan, hereinafter referred to as "Claimanf: Cary S. Lapidus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert J.A. Zito and Dana Cole, JTWROS (Claimants) vs. Morgan Stanley Smith Barney f/k/a Citigroup Global Maricets, Inc., and Charles R. Albanese (Respondents) Case Number: 09-04980 Hearing Site: New Yorl< , New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert J.A. Zito ("Zito") and Dana Cole ("Cole") hereinafter colle

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Chernesky (Claimant) v. Assent LLC, David Choi, and Arima Capital LLC (Respondents) Case Number: 09-05972 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Associated Person, and Non- Member. REPRESENTATION OF PARTIES Claimant Ronald Chernesky hereinafter referred to as "Claimant": Anthony J. Mom, Esq., New York, NY. Respondent

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01910 J. Kenneth Wilkens (Claimant) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Stockton Springs, ME. For Respondents appeared Brent J. Burtin, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 20, 2010 CASE SUMMARY: Claimant asserted the following causes of action: failure to conduct due diligence and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Linda Fastow Trust Respondents Donald Richanj Marshall Fox & Company Investments Inc. Case Number: 10-00085 Hearing Site: Las Vegas. Nevada Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linda Fastow Trust, hereinafter refenred to as "Claimant": Brian Fastow, Henderson, Nevada. Respondent, Donald Rich

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Ron & Lucille Matricaria Family Trust RAM Investors LP Jefferies RLM Family Tmst Jefferies Respondent Jefferies & Company, Inc. Case Number 09-01514 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ron & Lucille Matricaria Family Trust, RAM Investors LP Jefferies, and RLM Family Trust Je

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anil K. Chawla (Claimant) vs. Carol A. Ring, Greg Albert Libutti, and Valic Financial Advisors, Inc. (Respondents) Case Number: 09-05270 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Anil K. Chawla hereinafter referred to as "Claimant" appeared pro se. Respondents Carol A. Ring ("Ring"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Syed Intesar Haider (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-05060 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Syed Intesar Haider hereinafter referred to as "Claimant": Mark J. Astarita, Esq., Beam & Astarita, LLC, Verona, NJ. Respondent Citigroup Global Markets, Inc.,