AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00585 John Amoghiian (Claimant) vs. Christina Simpson and Citicorp Investment Services (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thousand Oaks, CA. For Respondente appeared Artur M. Wlazio, Esq., Greenberg Traurig, LLP, New Yori(, NY. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: February 3. 2010 CASE SUMMARY: Claimant asserted the foilowing cause of action: ne

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-01207 Jacob Zynger (Claimant) vs.TD Ameritrade, inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Tampa, FL. For Respondent appeared James J. Vihstadt. Esq., TD Ameritrade, inc., Omaha, NE. NATURE OF DISPUTE: Customer v. IVIember DATE FILED: March 10, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by iliiquidity of investment. The cause of actio

i» Award FINRA Dtopute Rssolution In the Mstter of ttie Art>itration Between: Claimants Case Number 09-04331 Helen M. Oattiout Joan L. Burdick Peggy A. Armstrong Resoondente Hearing Site: Anchorage. Alasica Charies Schwab & Co., Inc. Schwab Investmente, Inc. Charies Schwab Corporation Charies Schwab Financial Services Group Charies Schwab Investment Management, Inc. Nature of the Dispute: Customers vs. Members and Non-Meml)ers

Award FINRA Diapute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 00-06771 The Brandewie Family Trust Respondent Hearing Site: Los Angeles, Califomia TD Ameritrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Brandewte Family Trust, hereinafter referred to as "Claimant": Richard A. Brandewte, Monte Nido, Califomte. Respondent, TD Ameritrade. Inc., hereinafter referred t

Award FINRA Dtepute Resolution In the Matter of ttie Art)itration Between: Cteimant Case Number 10-01447 Morgan Stantey Smitti Barney, LlC fA(/a Morgan Stentey & Co. Incorporated Respondent Hearing Site: ]M8 Angetes, CaHfomia James R. Day Nature of the Dispute: Member vs. Assodated Person REPRESENTATION QF PARTIES Cteimant Morgan Stanley Smitti Barney. U.C Mete Morgan Stanley & Co. incorpoFaled hereinafter refenred to as 'Cteimanf: Tlmott

Award FINRA Dtepute Resolution In the Matter of the Arbrtration Between: Claimant Case Numt>er: 10-01058 Morgan Stenley Smith Barney ResDondent Megan Jean Gutterrez Nature of Dispute: Member vs. Assodated Person REPRESENTATION OF PARTIES Claimant. Morgan Stenley Smith Barney ("Morgan Stenley"), hereinafter referred to as "Ciaimanr: Diane C. Fischer, Esq., Kane & Fischer. Ltd., Chicago. Illinois. Respondent, Megan Jean Gutienez ("Gutienez'^, h

Award FINRA Dtepute Resolution In the Matter of the Arbltratton Between: Name of the Claimant Case Number 00^5127 Judith Poik-Sebring MamflfloftheRasDorxtente HearteoSlte: Washington, D.C. City National Securtties, Inc. Steven David Lxx^icshin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Judith Poik-Sebring, hereinafter referred to as "Claimant": Randall C. Place, Esq.. Race and Henley, A

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07117 John M. hHorne (Claimant) vs. Morgan Stenley & Co., incorporated (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael J. Rudicell, Esq., Michael J. Rudiceli, P.A., Pensacola, FL. For Respondent appeared Timothy B. Atkins, Esq., Morgan Steniey Smith Barr^y LLC, Pensacola, FL. NATURE OF DISPUTE: Customer v. Memt>er DATE FILED: December 18, 2009 CASE SUMMARY: Claimant asserted the following

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-05951 Carol Davles (Claimant) vs. Scottrade inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Omnond Beach, FL. For Respondent appeared Andrew C. Smaii, Esq., Scottrade inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 13, 2009 CASE SUMMARY: Claimant alleged damages as a result of system error The cause of action relates to Direxion Daily Financial Bull 3X share

Award FiNRA Dispute Reaolutfon In ttie Matter of the AriMtration Between: Names of ttia Cteknanb Case Number 0^04006 AnneP.Canntehael DavkJ C. Strong as Trustee for the Amended and Restated Revocabte Trust fto. 1 of Donski Camitohael Name of ttie Reaoondent Hearino Site: Boca Raton, Florida MerrM Lynch, Pierce Fenner & SmHh. Inc. Nature of the DIapute: Customer vs. Member. REPRESENTATION OF PARTIES For Anne P. Camitohael ("A. Carnitoh