AWARD FINRA DISPUTE RESOLUTION CASE: 10-00370 Christopher D. Driscoll (Claimant) vs. Joseph Stevens & Co., inc., and Granite Associates, inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Terryvlile, NY. Respondents did not appear In this matter. NATURE OF DISPUTE: Associated Person v. Members DATE FILED: January 23.2010 CASE SUMMARY: Claimant asserted the following cause of action: misrepresentation and slander. Claim Da

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07096 James Siedleckl, Georgette Sledieckl, and James and Georgette Sledleckl JTWROS (Claimants) vs. Citigroup Global Markets, inc. d/b/a Smith Barney (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Sam Tenenbaum, Esq., Bluhm Legal Clinic, Investor Protection Center, Chicago, iL. For Respondent appeared Chan Nam, Esq., Morgan Stanley Smith Bamey, New York, NY. NATURE OF DISPUTE: Customers v. Member

AWARD FINRA DISPUTE RESOLUTION CASE: 08-03496 Vllcram Rai and Swapnl Rai (Claimante) vs. Bear Stearns & Co.. inc.. J.P. Morgan Securities, Inc., and Alan D. Schwartz (Respondente) REPRESENTATION OF PARTIES: For Clalmante appeared Richard S. Franicowskl, Esq.. Burke Harvey & Frankowskl. LLC, Bimningham. AL and Robert R. Riley, Jr., Esq., Riley & Jackson, P.C., Birmingham, AL. For Respondente Bear Steams & Co.. Inc., and J.P. Morgan Securities, Inc., appeared

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00383 Alan Thietje and Michelle Thietje, JTWROS (Clalmante) vs. Morgan Stenley Smith Barney and Angelo Cortes (Respondente) REPRESENTATION OF PARTIES: For Claimante appeared Marie K. Davis, Esq., Badgley~Mullins Law Group, Seattle. WA. For Respondents appeared Lawrence G. Bardot, Esq., Morgan Stenley Smith Barney, NewYorK. NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: January 26.2

Award FINRA Dteputo Resdutlon In ttie Matter d the Aristtrstion Between: JMoadS Case Number 0ft^>2961 HeaHhrlght Partners, LP Grant R. Giffbrd Respondent HearinoSite: Salt Lake City, Uteh Lincoln Finandd Advisors Coiporation Natore of Iha Dispute: Customsrs vs. Member REPRESENTATION QF PARTIES admants. Hsalthrlght Partnera. LP ("HeaHhrlghtr) and Grant R. Gifford rGiffdnf), herdndter collectively rsfened to ss "Clsimsnte': Msrfc W. Pugslsy

AWHd nNRA Dtapule Reeohillon In the Matter of the Arbitration Between: Oaimante Case Number 05-04291 Winston Lambert Elaine Lambert VVInston Lambert Investment Employee MRP PL Dr. Elaine Lambert Employee GPP PL Winston Lambert Investmente Employee PS PL Reanondente Hearing Site: San Ftendsco, CaMbnUa Wedbush Securtttos, Inc. Christopher Q. Short CountSf'Clalmant Wedbuah Securities Jnc. Winston Lambert Elaine Lambert Wi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00144 CoStar Group, Inc. Names of the Respondente Hearing Site: Washlnaton. D.C. Credit Suisse Securities (USA) LLC Michael Pease Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For CoStar Group, Inc., hereinafter refen-ed to as "Claimant": Brian J. Fischer, Esq. and Andrew Weissmann, Es

AWARD FINRA DISPUTE RESOLUTION in the Matter of the Arbitration Between: Ameriprise Advisor Services, Inc. (fomierly H&R B\odk Financial Advisors, Inc.) (Claimant) vs. Troy A. Joseph (Respondent) Case Number: 09-04955 SITUS: Atlante. Georgia. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Advisor Services, Inc. (fomieriy H&R Blocic Financial Advisors, Inc.), hereinafter referred to as "Claimant": David H. S

stipulated Award FINRA Dispute Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04241 Richard C. Brockway Names of the Respondents Hearing Site: Orlando. Florida Charles Schwab & Co., inc. and Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard C. Broclcway, hereinafter referred to as "Claimant": Thomas F. Shine, Esq., Indialanti

Award FINRA Dispute Resolution In the Matter of the Ariaitratlon Between: Richard Wolf and Janice Wolf (Claimants) vs. Quester Capitel Corporaflon. Cari ComagUa, and Stephen Bohan (Respondente) Case Number 09-03449 Hearing Site: New London, Connecticut Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Clalmante f^lchard Wolf fR. WoT) and Janice Wolf ("J. WolT). hereinafter coHeclively refened to as "Claiman