Award FINRA Dteputo Resolution In the Matter of the Arisib^tion Between: Claimante Case Number: 08-03173 Donald E. Miller Maxine L. Miller Respondent Hearino Site: Seattle. Washington Citigroup Global Marlcete, Inc. Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimante, Donald E. Miller and Maxine L. Miller, hereinafter collectively refened to as "Claimante": John A. Bender, Esq., Ryan Swanson & Cteveland, PLLC,

AWARD FINRA Dispute Resolution In tiie Matter of tiie Arbitration Between: Names of Claimante l^urance B. Johnson, Ariene D. Johnson a/k/a Artene Johnson, Margaret L. Mem'man, and Sharon Peterson vs. Case Number: 05-02413 Hearing Site: Chicago, Illinois Names of Respondente First Republic Group, L.L.C. and Stuart Leighton Updegrove MATURE OF THg DISPUTE Customere vs. Member and Associated Peraon REPRESEMTAT1QM OF PARTIES Laura

stipulated Award nNRA DIaputa Reaolution In the Matter of the Arbltratran Between: Name of the Claimant Case Number 09-05792 Morgan Stanley Smith Bamey, LLC fbrrnerty Morgan Stanley DW Inc. Name of the Respondent Hearing Site: Bimningham, AL FFankA^YelMIng Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stenley Smith Bamey, LLC. fomierty Morgan Stanley DW Inc.. hereinafter referred to as "Claimanr

AWARD FINRA DISPUTE RESOLUTION CASE: 09-07045 A.G. Edwards & Sons, Inc.. a division of Wachovia Securities LLC n/k/a Wells Fargo Advisors, LLC (Ciaimarrt) vs. David C. Stem (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan Sugannan, Esq., Renan Sugarman, P.C., Chicago, IL. Respondent appeared pro se, N. Dartmouth, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: December 16.2009 CASE SUMMARY: Claimant asserted the foll

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06630 Gerald P. Lenaghan IRA (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jensen Beach, FL. For Respondent appeared Sean B. Meehan, Esq., Charies Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 19, 2009 CASE SUMMARY: Claimant asserted the following causes of action: misrepresentation and unsuitab

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06614 Harry R. Lynn as Trustee of the Harbor Press. Inc. PSP U/A DTD 05/10/1989 FBO Hany R. Lynn (Claimant) vs. Charies Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jason T. Dennett, Esq., Carlson & Dennett, P.S., Seattle, WA. For Respondent appeared Audette Paul Morales, Esq., Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 1

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05483 Mary Cowin (Claimant) vs. MetLife Securities, Inc., Benjamin Ricciardi, Mitchell Scher, Nancy Potte, Adam Kramer, and Scher Financial Group (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Belleville, NJ. For Respondente appeared Howard E. Panensky, Esq., Winget, Spadafora & Schwartzberg, LLP, New Yoric, NY. NATURE OF DISPUTE: Customer v. Member, Associated Persons, and Non-Member DATE F

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05093 Craig W. Mastrogiovanni (Claimant) vs. Clinton Borchardt, Glen Dubrowsky, and Scottrade, Inc. (Respondente) REPRESENTATION OF PARTIES: For Claimant appeared Douglas S. Knehr, Esq., Douglas S. Knehr L.L.C., Lawrenceville, NJ. For Respondente appeared Andrew C. Small, Esq., Scottrade, Inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Associated Persons and Member DATE FILED: August 31, 2009 CASE SUMMA

Award FINRA Dteputo Reaolution In the Matter of the ArtMtration Between: Name of the Claimant Case Number 09-02967 Menill Lynch, Pterce, Fenner & Smith Inc. Name of the Respondent Hwrinfl?itg: Attente, GA Robert D. Pippenger, Jr. Natore of the Dispute: Member vs. Associated Peraon REPRESENTATION OF PARTIES For Menill Lynch, Pierce, Fenner & Smith Inc.. hereinafter referred to as 'Ctelmant": Michael J. Fortonato. Esq.. Rubin, Fortunato & Harbi

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 09-02766 Argerit Incorporated Name of the Respondent Hearing Site: Miami, Florida David L. Sugannan Name off the Third Party Respondent Deutsche Bairk Securities, Inc. Natore of the Dispute: Non-Member vs. Associated Person vs. Member. REPRESENTATION OF PARHES For Aigent Incorporated, hereinafter refenad to as "Claimant^: A. Patricia