AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Pache, Successor Trustee of the James P. Pache Trust vs. Case Number: 09-04587 Hearing Site: Detroit, Michigan Name of Respondent Oppenheimer & Co.. inc. NATURE OF THF DISPUTg Customer vs. Member REPRESENTATION OF PARTIES Mary Pache, Successor Tmstee of the James P. Pache Trust ("Mrs. Pache" or "Claimant") was represented by Craig W. Hor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hal-Eleven Associates, LLC vs. Case Number: 09-03324 Hearing Site: Detroit, Michigan Name of Respondent Raymond James & Associates, Inc. NATURE OF THE QISPUTE Customer vs. Memk>er REPRESENTATIQM OF PARTIES Hal-Eleven Associates, LLC ("Claimant^ was represented by Anthony V. Trogan, Esq., Anthony V. Trogan, PLLC, West Bloomfield, Michigan. Ray

AWARD FINRA Dteputo Resolution in the Matter of the Artjitration Between: Name of Claimant Michael Tepper as Trustee and on behalf of the Michael Tepper Revocable Trust vs. Case Number 09-04167 Hearing Site: Oklahoma City. Oklahoma Name of Respondent Capitel West Securities, inc. NATURE OF THg DISPUTE Customer vs. Member REPRESEMTATIQM OF PARTIES Michael Tepper as Trustee and on behalf of the Michael Tepper Revocabte Trust ("Claim

AWARD FINRA Dtapute Resolution In the Matter of the Art}itration Between: Names of Claimante Kenneth J. Iwanlcki and Penelope Iwanicid vs. Case Number: 09-01494 IHearing Site: Chicago, Illinois Names of Resoondents Richard Lewin, Robert l.ewin, Basic Investors, Inc., and Penson Financial Services, Inc. MATURE OF THE DISPUTP Customers vs. Associated Persons and Members REPRESENTATION OF PARTIES Kenneth J. Iwanicki and Penelope

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Associated Financial Group, Inc. vs. Case Number 08-01874 Hearing Site: Columbus, Ohio Name of Respondent/Counter-Claimant Thomas S. Ensign and Name of Third-Partv Claimant Thomas S. Ensign vs. Name of Third-Partv Resoondent Associated Securrties Corp. NATURE OF THg DISPUTg Non-Member vs. Associated Perso

Awiid FINRA Dtoputo RMOlutlon In the Matter of the Arbitration BeMween: ClalQSaDlft Cage Number 094)3933 RonAuren Gal Corporation Ryyp^yi^ Hearing SHa: Loa Angeles. Catifbmla TD Ameritiade, inc. Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRE&EMTATJQN OF PARTIES Claimants, Ron Auran and Gal Corporation, hefeinafler refened to coilectively as "Claimants': RonAuren, Palm Springs, Callfb

AWARD FINRA Dteputo Reaoiution In the Matter of the Arbttration Between: Name of Claimant Woodbury Financial Services, Inc. vs. Case Number 00-03477 Hearing Site: Dallas, Texas Name of Respondent Michael A. Dagnan NATURE QF THE PI8PUTE Member vs. Associated Pereon REPRESENTATION OF PARTIES Woodbury Financial Services, Inc. C'ClaimanT or 'Woodbury") was represented by Martin S. Chester, Esq., Faegre & Benson, LLP, Minneapolis, Minnesot

Stiputeted Award FINRA Dteputo Resolution In ttie Matter of the Ari)ttration Between: Name of the Cteimant Case Number: 09-00059 Gregory George Name of ttie Resoondente Hearino Stte: Boca Raton. FL FMSbonds, Inc. Michael DeStateno Natore of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory George, hereinafler refened to as "CteimantT: Bradford M. Guoclardo, Esq. and Scott Hirsch, Esq., Scariett &

Award FINRA Dteputo Resolution In ths Matter of the Arbttration Between: Name of ttie Cteimant Case Number 08-02041 MItton J. Seymour, Jr. Name of ttie Resoondente Hearing gtt^; Jackson, MS Wachovte Securittes, LLC Mnhael F. Odom Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mitton J. Seymour, Jr., hereinafter refened to as "Claimanf: Mack A. Bettiea, Esq., Jackson, MS and Frank C. Breese.

AWARD FINRA DIsputo Resolution In the Matter of the Arijitration Between: Name of Claimant Michael P. McMahon vs. Case Number 09-01642 Hearing Site: Minneapolis, Minnesote Name of Respondent Stifel, Nicholas & Company, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael P. McMahon ("ClaimanT) was represented by Shannon M. McDonough, Esq. Fafinski Marie & Johnson, PA, Eden Prairie, Minnesote. S