Award FINRA Dtopma Reaoiullon In the Mattaf of the AibKratfon Between: fiUmm Casa Number 0M1513 Mary Bale Hate, an tedMdual Mary Bale Hate, CGM IRA Guatodtan Mary Bale Hate, ACF Mwlah Fore UiORAJTMA Maiy Belto Hate, ACF Laura Patay IMRAJIMA Mary Bale Hato^ COM EducaUon Savtega Account FBO Jarad Auattn FoTB Mary Bale Hate. CGM Eduoatton Savtegs Account FBO Brianna Nteote Fore Mttry Bale Hate. CGM Educaflon Savings Account FBO Nlchotes AtaxwKtor Fo

Award FINRA Dispute Resolution In the Matter of the Art}itration Between: Name of the Claimant Case Number: 0&^293 Sandra S. Boardman Names of the Resoondente Hearing Site: Columbia, South Carolina UBS Financial Servk»s, Inc. DavkJ George Ruckno Bertin Marc Stuckart. Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Sandra S. Boardman, hereinafter referred to as "CialmanT: Fred Claric, Esq., C

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. n/k/a Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Tricia L. Landry (Respondent) Case Number: 09-01179 Hearino Site: Hartford, Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/ices. Inc. nfkia Menill Lynch, Pierce, Fenner & S

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06815 Corinne J. I^atser (Claimant) vs. Laurence James Finn and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Laguna Woods, CA. For Respondent Laurence James Finn appeared l\1atthew S. Roric, Esq., Fairfield and Woods, P.C, Denver, CO. For Respondent LPL Financial Corporation appeared David Maricun, Esq.. Pacific Palisades, CA and Amanda C. Hawley, Esq., LPL Financ

AWARD FINRA DIapiilB Reaolutfon In the Matter of ttie Aristtration Between: Name of Cteimant/Counter-ResDondent Citigroup Global Maricets Inc. vs. Case Number 09-03119 Hearing Site: Houston, Texas Name of Respondenttftounter-Ciaimant Andrea D. Smtth MATURE OF THE DlSPim Member vs. Assodaled Person REI>REaEMTAT1CMi QF PARTIES Citigroup Global Mari(ets inc. ("Claimanir) was represented by Erin E. Mac Avoy, Esq.. Alonso, Andalkar& Kahn,

Award FINRA Dispute Resolution In the Matter of the Arbrtration Between: Name Qf the Claimant Case Number 08-04044 Michael W. Fogarty Name of the Respondent Hearing Site: Washington, D.C. Morgan Stanley & Co. Incorporated Nature of the Dispute: Customer vs. Member. Public Arisitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Michael W. Fogarty, hereinafter referred to as "Claimanf: John P. Connolly, Esq., Alexandria

stipulated Award FINRA Dispute Resolution in the Matter of the Arbttration Between: Name of ttie Claimant Case Number 09-02798 Julius Cantor Names of ttie Resoondents Hearing Stte: Tampa. Florida American Portfolios Financial Services, Inc. Bradford S. Goldner Nature of Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Julius Cantor, hereinafter refened to as "Claimant": Jeffrey Sonn, Bonn & Erez PLC, Fort

AWARD FINRA Dispute Resoluflon In the Matter of the Arbitratnn Between: Name of Claimant Robert B. Luckett, Trustee for The laickett Family Trust vs. Case Number 09-05706 IHearing SHe: Louisville, Kentucky Name of ResporKient U.S. Bancorp Investments, Inc. MATURE OF THE DISPUTE Customer vs. Member REPRESEMTATIOM OF PARTIES Robert B. Luckett, Tmstee for The Luckett Family Trust f Claimant^ was represented by Steven M. McCauley, Esq

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01950 Marilyn K. Deckmann, Trustee for Richard W. Deckmann Family Trust U/A DTD 5/3/99 (Claimant) vs. MIchele E. Kief and Wells Fargo Advisors, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rehoboth Beach, DE. For Respondents appeared Judy Louie, Esq., Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: April 23, 2010 CASE

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00932 John Bishop (Claimant) vs. E*Trade Securities LLC and James Eugene Horton (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared Jeremiah Phillips, Esq., Northwestern University School of Law, Investor Protection Center, Chicago. IL. For Respondents appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: Febru