Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric Friedlander (Claimant) vs. Ameriprise Advisor Services, Inc. (Respondent) Case Number: 09-06159 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Eric Friedlander hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheirn LLP, New York, NY. Respondent Ameriprise Advisor Ser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Susan Hamovitch (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Peter Inserra (Respondents) Case Number: 09-05858 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Hamovitch appeared pro se. Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") and Peter I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Finkelstein (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 09-04885 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Finkelstein hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New York, NY. Respondent Citigroup Global Markets, Inc. herei

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Kenda K. Pardy vs. Case Number: 10-00131 Hearing Site: Chicago, Illinois Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kenda K. Pardy ("Claimant") appeared pro se. E*Trade Securities, LLC ("Respondent" or "E^Trade") was represented by Meredith Felde, Esq., and John Bersin, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-04042 Earl Bentz and Janet Bentz Names of the Respondents Hearing Site: Nashville, Tennessee Morgan Keegan & Company, Inc. Morgan Asset Management, Inc. RMK Multi-Sector High Income Fund, Inc. William F. Wolbrecht, IV Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES For

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05108 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, Name of the Respondent Hearing Site: Miami, Florida Ivan Pulido Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities LLC, hereinafter refenred to as "Claimant": Nisha Wright

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-05605 John E. Cassandra Name of the Respondent Hearing Site: Boca Raton, Florida Christopher R. Hickman Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For John E. Cassandra, hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Fl

Award FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of the Claimant Case Number 09-05975 Ron Bekjns Name of the Respondent Hearing Site: Boca Raton, Florida Ameriprise Financial Services, inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Ron Bekins, hereinafter referred to as "Claimant," appeared pro-se. For Ameriprise Financial Services, Inc., hereinafter referred to as "Respondent

Award FINRA Dispute Resolution in the Matter of the Art)lta«tion Bebveen: Nanie of the Claimant Case Numt)er 09-01736 Wachovia Securities, LLC Name of the Respondent Hearino Site: Cleanwater. Florida David T. Barman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Stephen Bums, Esq., Flore & Levine, PLLC, Arlington, Virginia. For David T. Ba

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Christina Keller (Claimant) vs. WM Financial Services, inc. f/lc/a Dime Securittes, inc. and Patricia IHoenings (Respondente) Case Number: 07-02482 Hearing Site: New Yorlc. New Yori< Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Christine Keller, hereinafter refened to as "Claimanf: Scott Hirsch. Esq., Scariett & Gucciardo,