Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bany Goldenberg (Claimant) vs. MarlcetAxess Corporation and Richard McVey (Respondents) Case Number 07-00126 Hearino Site: New Yori^. New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Barry Goldenberg hereinafter referred to as "Claimanr: Gary Trachten, Esq., and Alisa L. Silverstein, Esq.. Kudman Trachten Aloe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Trident Partners, Ltd. (Claimant) v. Francine Ann Lanaia and Alexander Capital, L.P. (Respondents) vs. Brian Schantz, Edward Flynn, and Timothy Flynn (Third Party Respondents) Case Number 08-01194 Hearing Site: New Yori«, New Yoric Nature of the Dispute: Initial Claim: Member v. Associated Person and Member. Third-Party Claim: Associated Person v. Associated Persons. REPRESE

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Edgar B. & Louise M. Baiter (Claimants) vs. Virginia Traver, Mark Renzini, Community Bank & Trust, LPL Financial Corporation, and Comm Financial Services Corp (Respondents) Case Number 09-05512 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Memt)er and Non-Memt>ers REPRESENTATION OF PARTIES Claimants Edgar B. ("E. Baker^) and Ijouise M. Bak

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06571 E. Brent Lundgren (Claimant) vs. William Brown Parle and Mary L. Redell (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, West Fargo, ND. Respondent William Brown Park appeared pro se, Houston, TX. Respondent Mary L. Redell appeared pro se, Houston, TX. NATURE OF DISPUTE: Associated Person v. Associated Persons DATE FILED: November 17, 2009 CASE SUMMARY: Claimant asserted the following ca

AWARD FINRA DISPUTE RESOLUTION CASE: 10-00141 Ameriprise Advisor Services, Inc. (Claimant) vs. George Hovany (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward A. Walton, Esq., Ameriprise Advisor Services, inc., Detroit, Ml. Respondent appeared pro se, Vernon Hills, IL. NATURE OF DISPUTE: l\1ember v. Associated Person DATE FILED: January 11, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory

Award FINRA Dlsputo Resolution In the Matter of the ArtHtratton Between: Name of tiie Claimant Case Number: 09-04116 Michael Hannon, individually and on behalf of the Michael Hannon Revocabto Trust dated 5/5/93 Names of the Respondente Hearino Site: Richmond, Virginia J.P. Morgan Securities inc. J.P. Morgan Chase & Co. Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Michael Hannon, individually

Award FINRA Diaputo Reaolution In the Matter of the Arbitration Between: Nanfie of ttw Ctaimant Case Number. 09-04418 Wells Fargo Advisora, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Baltimore, Maryland William G. Adelsberger, 111 Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Weils Fargo Advisora, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant^: St

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimante Ed IHolmes Brad Malay Ricic Alexander Larry Bagley Chartes Poole Names of the Resoondente MF Global, Inc. Tradewind investmente, LLC Palm Beach Futures & Options, Inc. William Roy Murphree Gary Futoh Bradley Allen Futch Case Number: 08-04194 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member, Non-M

Award RNRA Dtopute Resolutton in the i\4atter of the Arbitration Between: Claimant Case Number 10-00956 UBS Financial Sennces Inc. Respondent Hearino Site: Los Angeles, CaHfomia Uoyd William Graham Nature of the Dispute: Member vs. Associated Person RgPRE?ENTATI9N 9f PARTie? Claimant UBS Financial Sennces Inc., hereinafter refened to as "Ctaimant": Devin A. Donohue, Esq., Palmer, Lombardi & Donohue LLP, Los Angeles, California. Respondent

Award FINRA Dtopute Reaoliitlon In the Matter of the Arbitretton Between: WiBlis Fargo Investmento, LLC Respondent Viotette F. Fabio Case Number 07-03411 Hearing Site: Los Angeles, Califdmia Violette F. Fabio C9unter-Rgspqwl9Pt Wells Fargo Investments. LLC Third-Partv Claimant Violette F. Fabio Third-Party Respondent Wens Fargo and Company Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member and