Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00514 Molly Mendelsohn, Individually and as a Trustee for the Molly Mendelsohn Trust Name of the Respondent Hearing Location: Boca Raton, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Molly Mendelsohn, Individually and a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00175 James Benjamin Fellus Name of the Respondent Hearing Site: Birmingham, Alabama Sterne, Agee & Leach, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARirES For James Benjamin Fellus, hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, New York. For Sterne, Agee & Le

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03831 Kathy Leigh Richardson Names of the Respondents Hearing Site: Baltimore, Maryland Citigroup Global Markets, Inc. Brookstreet Securities Corporation Newbridge Securities Corp. John Francis Means Matthew Bryan Wilson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathy L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nathaniel Aaron Finkin (Claimant) vs. Morgan Stanley Smith Barney (Respondent) Case Number: 09-06253 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Nathaniel Aaron Finkin hereinafter referred to as "Claimant" appeared pro se. Respondent Morgan Stanley Smith Barney hereinafter referred to as "Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Olav Refvik (Claimant) v. Morgan Stanley & Co., Inc. (Respondent) Case Number: 09-01389 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Olav Refvik hereinafter referred to as "Claimant": Jeffrey L. Liddle, Esq. and Christine A. Palmieri, Esq., Liddle & Robinson, L.L.P., New York, NY. Respondent Morgan Stanl

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01889 Andrew Y. Wasa and Henry J. Ferry, Jr. (Claimants) vs. Securities America, Inc., and Sandra Snyder (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Pamela D. Ferry, Esq., Encinitas, CA. For Respondents appeared Elizabeth Lowery, Esq., Hermosa Beach, CA and Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. NATURE OF DISPUTE: Associated Persons v. Member and Associated Person DATE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01367 John Campanelli and Venus Campanelli (Claimants) vs. Ameriprise Financial Services, Inc., and Joseph G. Delia Monica, Jr. (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Laurence M. Landsman, Esq., Block & Landsman, Chicago, IL. For Respondents appeared Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Ml. NATURE OF DISPUTE: Customers v. Member and Associated Person DAT

Award FiNIV^ Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-00948 Jean Clevelahd Respondent Hearing Site: Portland, Oregon Edward Jones Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Jean Cleveland, hereinafter referred to as "Claimant": Franl^lin Jason Seibert, Esq., F.J. Seibert, LLC - A Law Office, Salem, Oregon. Respondent, Edward Jones, hereinafter referred to as "Res

^ Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-01515 Wachovia Securities, LLC Respondent Hearing Site: Phoenix, Arizona Tracy Allen Wildeman Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimanf: Ronald P. Kane. Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent, Tracy Allen Wildem

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Keith Brodkorb vs. Names of Respondents Wachovia Securities, LLC, Prudential Securities, Inc., and Joseph B. Kelly Case Number: 10-00761 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Keith Brodkori3 ("Claimant") was represented by Meghan W. Cassidy, Esq., and Andrew