AWARD FINRA DISPUTE RESOLUTION CASE: 10-00219 Charies B. Stoveicen (Claimant) vs. William H. Medlin, Equity Concepte, L.L.C., and Sanders Morris Harris Inc. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Prince George, VA. For Respondents appeared John T. Unger, Esq., Sanders Morris Harris Inc., Houston, TX. NATURE OF DISPUTE: Customer v. Associated Person, Non-Member, and Member DATE FILED: January 16. 2010 CASE SUMMARY: Clai

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07167 Sadasiva Seshagiri Rao Rayavarapu (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Scudder G. Stevens. Kennett Square, PA. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc.. Omaha. NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 23, 2009 CASE SUMMARY: Claimant alleged a monetery loss as a result of Respondent's failure to iden

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07116 David J. Foster on behalf of the David J. Foster Charles Schwab & Co., Inc., Custodten IRA Contributory (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES; For Claimant appeared David P. Meyer, Esq., David P. Meyer & Associates Co., LPA, Columbus, OiH. For Respondent appeared Sean B. Meehan, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. M

Award RNRA Dteputo Reeolutlon In the Matter of the Art)itaatton Between: SUmaolS Caae Number 08-04499 AmeWautera Camilla f^ers Suzanne Rogera Special Needs Trust Respondente Hearino Site: San Francisco, Caiifomte White Pacific Securittea, ln& Pabk:kS.Nei8on EricW.Groth M. Sean McCandtese Robert T.Angte PeiteeLIu Arthur M.Qutotero Natore ofthe Dteputo: Customers vs. Member and Aaaodated Peraons REPRESENTATION OF PARTIES

A¥nrd FINRA Dteputo Readution In ttie Matter of the Arbibation Between: Cteimant Caae Number 10-00503 Wells Fargo inveatmente, LLC RasDondent Hearing Site: Reno. Nevada Timothy Neal Harlman Natore ofthe Dispute: Member vs. Associated Person REPRKEMTATWN QF PARTIK Claimant V\tells Fargo Investmente. LLC. hereinafter refened to aa 'WMIs Fargo' or "Claimanr: Timothy N. WHI, Esq., Albert & WiU. LLP, Tonanoe. Caiifomte Respondent, Timothy Neal

Award FINRA DIaputo Reeolutlon In ttie Matter of the Ariaitration Between: Claimant Case Number 09-01142 Denlse M. Sullivan Respondente Hearing Stte: San Francisco, Califomia Edward Jones Matttiew A. DiGiacomo Nature of the Dispute: Customer vs. Member and Assocteted Person REPRESENTATION OF PARTIES Claimant, Denise M. Sullivan, hereinafter referred to as XIaimanf: Port Paricer, Esq., Freidberg & Paricer, LLP, Sacramento. California.

Award FINRA Dtoputo Resolution In ttie Matter of the AibitrBtion Between: Cteiniante/Counter-ResDondente Case Number 0M0226 IMarion Thomas Risner, indhriduany and as Tnistee of the f^isner Family Trust U/A DTD 01/21/82 Betty litargaret Rtoner, indivtoualiy, as benefictery of the Betty Margaret D Risner- Roltover IRA, and as Tnistae of ttie Risner Family Tmst U/A DTD 01/21/82 Reaoondente/CQuntar-Ctelmante Hearing SHa: Los Angetes, CalHbmta Morgan

Award FINRA Disputg Resolution In the Matter of the ArbKratfon Between: Name of the Claimant Case Number 0»03959 Philip Sielatyckl Name of the Respondent Hearing Site: Raleigh, North Carolina Bank of America Investanent Services, Inc. Nature of the Dtspute: Associated Person vs. Member. REPRESENTATiON OF PARTIES For Philip Sielatyckl, hereinafter referred to as 't^laimanf: Laura J. Wetsch, Esq., Wln8k)wWetsch, PLLC, Raleigh, North Carolina.

AWARD FINRA Dtepute Reeolutlon In the Matter of the Ariattratton Between: Names of Ctolmante Bradley A. Burt» and Mtohelto Buries vs. Caae Number 00-2757 Hearing Site: Deltas, Texas Names of Rasoondente i-TRADEdirBct.com Corp., Mike Backer, Louis Anttiony DonzalH, Ira Scott Karaba, Sean Mtohael Case, Eric Davto Artt, Steme Agree Capttal Markete, Inc., Sterna, Agae & Leach, Ina, i-TRADEriow.oom Corp., and Brian E. Sanders MATUR

Award FINRA Dtepute Resolution In the Matter of the Art>itrBtion Between: Names of the Claimante Case Number. 08-04090 The Barbara J. Wtttkopf IFtA The Wittkopf Family Settlors Trust The Wlttkojsf Family Bypass Trust The Eugene Wittkopf Deceased IRA Names of the Rasoondente Hearing Site: New Orieana, Louisiana Mary G. Carieton Feltus B. McKowen Broad Street Securities, Inc. Nature of the Dispute: Customer vs. Member and Assodatad Pers