Award FINRA Dispute Rosohitlon In the Matter of the Art)itration Between: Q^SaSi Cage Number: 10-00688 LPL Financial Corporation Respondent Hearing Site: Seattle, Washington Jeffrey Scott HoUingsworth Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, LPL Financial Corporation, hereinafter refsTred to as X^laimanT: David S. Martcun, Esq., Markup Zusman & Comgton LLP, Pacific Palisades. CaUfbmia. Respon

STIPULATED AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Ciaimant/Counter-Resoondent Ameriprise Advisor Services. Inc. f/k/a H&R Bloclc Financial Advisors, Inc. vs. Name of Resoondent/Counter-Ciaimant Chad E. Henry and Name of Ciaimant/Counter-Resoondent Ameriprise Advisor Services, Inc. f/k/a H&R Btock Financial Advisors. Inc. vs. Name of Resoondent/Counter-Claimant David J. Koch Case Number

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07165 TD Ameritrade, inc., a New York Corporation (Claimant) vs. Marc A. Labate, an individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq., TD Ameritrade, inc., Bellevue, NE. Respondent appeared pro se, Austin, TX. NATURE OF DISPUTE: Member v. Customer DATE FILED: December 23, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of contract,

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-07144 Merrill Lynch, Pierce, Fenner & Smith Incorporated (ffk/a Banc of America investment Services, inc.) (Claimant) vs. Anthony Dicesare (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent did not file an Answer and Submission Agreement in this matter. Respondent was previously represented by Angeio A. Rose, Esq., Rose and Reh, LLC, V

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06913 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities, LLC (Claimant) vs. Waiter Twetten (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michaei S. Colombo, StreetWide Asset Recovery Group, inc., Haziet, NJ. Respondent appeared pro se, Purceiiville, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 11. 2009 CASE SUMMARY: Claimant asserted the following ca

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06682 Securities America, inc. (Claimant) vs. Kenneth Osborn (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Elizabeth Lowery, Esq., Hemiosa Beach, CA and Kelly R. Davis, Esq., Securities America, inc., La Viste, NE. Respondent appeared pro se, Corona, CA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 23, 2009 CASE SUMMARY: Claimant asserted the following cause of action: bre

AWARD FiNRA DISPUTE RESOLUTION CASE: 09-06125 Ann Marie (Steci) Lorenz (Claimant) vs. Morgan Stenley Smith Barney (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Edina, MN. For Respondent appeared Daniel Derechin, Esq., Morgan Stenley Smith Barney, Chicago, IL NATURE OF DISPUTE: Customer v. Member DATE FILED: October 22,2009 CASE SUMMARY: Claimant asserted the following cause of action: misrepresentetion. The cause of action rel

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06561 Steven S. Hara, individually and Steven S. Mara, Trustee of the Ruth Hara and James Hara Trusts (Claimants) vs. Jay Kelter. Jerome Keiter, Securities Service Networic, inc., and VSR Financial Services, inc. (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Steven S. Hara, Douglasvlile, GA. For Respondent Jerome Kelter appeared Jason S. Haselkorn, Esq., Casey, Ciidin, Lubitz. Martens & O'Conneii,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: i-lenry Stem and Joyce Greer Stem (Ciaimante) vs. HSBC Securities (USA) Inc. (Respondent) Case Number 09-04377 Hearing Stte: New Yoric, New Yoric Nature of the Dispute: Customers vs. Memt)er. REPRESENTATION OF PARTIES Ciaimante Henry Stem ("H. Stem") and Joyce Greer Stem ("J. Stem"), hereinafter collectiveiy referred to as "Ciaimante": Richard M. Zaroff, Esq., ZarofF & ZarofF LL

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Connecticut College (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, inc. (Respondent) Case Number: 09-01490 Hearino Site: New London, Connecticut Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/Majority Public Parcel REPRESENTATION OF PARTIES Claimant Connecticut College hereinafter referred to as "Claimant: James T. Shearin, Esq., Pullman &