Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Guy Girgenti (Claimant) vs. Janney Montgomery Scott, LLC and Janice Ginsburg (Respondent) Case Number: 09-01381 Hearina Site: NewYorit, NewYorl^ Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Guy Girgenti hereinafter refen^ to as "Claimant" appeared pro se. Respondents Janney Montgomery Scott. LLC ("Janney") and Janice Ginsbur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giorgio Castro (Ciaimant) v. Chicago Investment Group, LLC (Respondent) Case Number. 09-02274 Hearing Site: New Yoric. New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Giorgio Castro hereinafter referred to as "Claimant": Luigl Rosabianca, Esq., Rosabianca & Associates. PLLC, New Yoric, NY. Respondent Chicago Investment Group, LLC, hereina

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Clainnant Ross, Sinclaire & Associates, LLC vs. Case Number: 09-05218 Hearing Site: Cincinnati, Ohio Name of Respondent Clayton Lowell & Conger, Inc. NATURE OF THgPISPUTF Member vs. Member REPRESENTATION OF PARTIES Ross, Sinclaire & Associates, LLC ("Claimant^ .was represented by lj)uis F. Soiimine, Esq., Thompson Hine LLP, Cincinnati, Ohio. Clayton L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Klausman, individually and as Grantor and Beneficiary of Michael Klausman IRA and the Michael Klausman Roth IRA. and Betsy Klausman, individually and as Grantor and Beneficiary of the Betsy Klausman IRA (Claimants) vs. J. Alden Associates, inc., and Donald Resnick (Respondents) Case Number: 09-01881 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Advisor Services, inc. vs. Case Number 10-00152 Hearing Site: Detroit. Michigan Name of Respondent David Strand NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Advisor Services, Inc. ("Claimanf or "AASH was represented by Edward A. Walton, Esq., Ameriprise Advisor Services, Inc., Detroit, Michiga

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Wechsler and Amy Wechsler (Claimante) vs. E*Trade Securities LLC (Respondent) Cgse Number 09-02871 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimante David Wechsler ("D. Wechsler^) and Amy Wechsler ("A. Wechsler'), hereinafter collectively refened to as "Claimante": David E. Robbins, Esq., Kaufmann, Glldin

Award FINRA Dispute Resolution In the Matter of the Artsltration Between: SMH Capital Inc. f/k/a Sanders Morris Hanis, Inc. (Claimant) vs. Patricia Bonavlto (Respondent) Cass Number 09-04266 Hearing Site: New Yoric, New Yori^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant SMH Capital Inc. f/k/a Sander Mom's Harris. Inc. ("Claimant''): Andrew R. Han/in, Esq., Doyle, Restrepo, Harvin & Robbins, L.L.P., Houston,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frederick Visconti and Mary Visconti (Claimants) vs. Fahnestock & Co. (n/k/a Oppenheimer& Co., Inc.) (Respondent) Case Number: 09-04809 Hearing Site: New Yori< , New Yoric Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Frederick Visconti ("F. Visconti") and Mary Visconti ("M. Visconti"), hereinafter collectively refened to as "Claimants": Richard

Aaranl HNRA Dteputo ResoUon to ttie Matter of ttie Art)ttratton Between: Cteimante Caaa Number 094)2726 Bnica E. Hughes and Bmca E. Hughes as Tnwtae of ttia Marie F. Bryant Testamentary Tnist Raanondente Hearing Stta: Denver, Cotorado Wels Fargo Inveabnsnte, LLC ChariottaM. Mater Natore of ttw Dispute: Customere vs. Member and Assodated Person REPRHEfFftTTOfl W PftBTIH Clainiants, Bnioe E. Hughes ("Hughes') and Bruce E. Hughes as Tmstee o

Aanrd HNRA Dteputo Rsaoimion to ttie Matter of ttia Arbibatton Between: Claimant Case Number 09412703 WHam E. Totoon, IndMdualy and as Tmstae of ttie WMam E. Totoon 2006 Rav IntBF- Vivos Treat U/A DTD 03/17y2006 Reapondente Hearing Site: San Frandsco, Calfomte Wachovte Capttdi Mariwte, LLC Howard Barry Peariman NatoreofttiaDlapute: Customsr vs. Msmber and Asaodatod Person REPRESENTATION OF PARTIES Claimant, WHam E. Toteon, IndWMualy and a