Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05324 Javier Ernesto Corujo-Ramsey Name of the Respondent Hearina Site: San Juan. Puerto Rico Lincoln Financial Securities, Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Javier Ernesto Corujo-Ramsey, hereinafter refened to as "Clalmanf: Maria Elsie Lopez-Adames. Esq., Gonzalez Lopez & Lopez A

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05336 Howard A. Rubin (Claimant) vs. TD Ameritrade. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Santo Fe, NM. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 10, 2009 CASE SUMMARY: Claimant asserted the following cause of action: unauthorized sale of holdings. The cause of action relates to

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01457 Jeffrey S. Donner (Claimant) vs. Steriing Financial Investment Group, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Darin A. DiBello, Esq., DiBello, Lopez & Castillo, P.A., Coral Gables, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: March 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: brea

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph S. Chaylca. Jr. on behatf of the Joseph S. ChayIca Rollover iIRA (Claimant) vs. Janney Montgomery Scott, LLC and Peter T. Higgins (Respondents) Case Number: 09-02397 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph S. Chayka. Jr. on behalf of the Joseph S. Chayka Rollover IRA

Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Ronald A. Roganti (Claimant) v. Metropolitan Life Insurance Company (Respondent) Case Number: 04-04876 Hearing Site: l^iew York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ronald A. Roganti, hereinafter referred to as "Claimant": Robert Kraus, Esq. and Pearl ZuchlewskI, Esq., Kraus & Zuchlewski LLP, New York, NY. Prevk)usly r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Agustin Severs (Ciaimant) vs. CRT Capitai Group LLC and CRT Capitai IHoidings LLC (Respondents) Case Number 09-03923 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Ciaimant Charles Agustin Severs, hereinafter refenBd to as "Ciaimant": Jonathan Harris. Esq.. Harris, Cutier, Cash & Houghteling

Award FiNRA Dtopute Resolutton In the Matter of the Arisibation Between: Name of ttie Ctoimant Case Number. 09-05808 Saralyn White Names of ttie Resoondente Hearino Site: Tampa. Ftorida Tina R. Hicks Edward Jones Nature of the Dispute: Customer vs. Member and Assodated Person. REPRESENTATION OF PARTIES For Saralyn White, hereinafter referred to as "Claimanf: Joel J. Ewustok. Esq., Forizs & Dogali. PA.. Tampa, Ftorida. For Tina R. Hick

AWARD FINRA DISPUTE RESOLUTION In the Matter of the ArtHtration Between: Ameriprise Advisor Services, Inc. ("Claimanf) vs. l.eo Sala III f Respondent^ Case Number 10-00469 SITUS: Tampa, Ftorida NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Ameriprise Advisor Services. Inc., hereinafter referred to as "Claimanf: Paul T. CahHI. Esq., Kane & Fischer, Ltd.. Chicago, IHinois. Respondent Leo Sala III ("Sala") did not appea

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00714 Morgan Keegan & Company, Inc. ("Claimant^ vs. Lee J. Thorpe f Resf>ondent") REPRESENTATION OF PARTIES: For Claimant Shea O'Brien Hicks. Esq.. Morgan Keegan & Company, Inc.. Memphis. Tennessee. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: Febaiary 12.2010 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory note. Claim Data Award Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Skidmore (Claimant) vs. HSBC Securities (USA), Inc. (Respondent) Case Number: 09-04717 Hearing Site: New York. New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Peter Skidmore. hereinafter referred to as "Claimant": Kristian P. Kraszewskl. Esq.. Levin, Papantonio. Thomas, Mitchell, Echsner, Rafferty & Proctor. P.A.. Pensacola, FL.. an