AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Marilyn Hazell vs. Peak Securities Corporation Case Numt)er 10-01629 SITUS: Orlando, Florida NATURE OF DISPUTE: Customer vs. Terminated Member REPRESENTATION OF PARTIES: Marilyn Hazell. hereinafter rafsned to as "Claimant": Nicholas D. Thomas, Esq., Veto Beach, Florida. Respondent did not enter an appearance in this matter. DATE FIUED: April 27.2010. CASE SUMMARY: Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Paiumbo (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 09-01789 Hearino Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Paiumbo hereinafter referred to as "Claimant" appeared pro se. Respondent Ameriprise Financial Services, inc., hereinafter referred to as "Respondent": IHoward M

AWARD FINRA Dispute Resolution In the IMatter of the Ariaitration Between: Names of Claimante Mesirow Financial, Inc., Mesirow Financiai Hotoings, Inc., and Mesirow Financial Investment Management, inc. vs. Case Number 08-01652 Hearing Stte: Chicago, lilinoto Names of Respondente David J. Copeland, Neal H. Price, and Strategic Weatth Partners, LLC and Names of Counter-Claimante David J. Copeland and Neal H. Price vs. N

Award HNRA Dteputo Reeolutlon In ttie Matter of the Ari>ttratton Between: NameoftheClaknant Case Number 08-03005 Central Ftorida Invasttnente. Ina Name of ttie Respondent iJfiadoaSSSL Oriando, ftorida Oppenheimer & Co., Inc. Nature of ttie Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Central Ftorida Investmente, Ina. hereinafter referred to as 'Claimanf: Richard W. Epstein, Esq., Greenspoon Marder, P.A., Fort LjKjderdato, Ftori

Award FINRA DIeputo Reeolirtion In the Matter of the ArtHtratfon Between: Names of the Claimante Case Number 09-02e81 Edwin Minsky Barbara Minsky Edwin Minsky Tnist Barbara Minsky Tmst Name of the Respondent HwrtPB 9te; Boca Raton. Florida Morgan Stanley & (^., Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Edwin Minsky, BariE)ara Minsky, Edwin Minsky Tmst, and Bartuira Minsky Tmst, hereinaf

Award FINRA Dispute Resolution in ttie Matter of the Arbttration Between: Name of ttie Ctafcnante Case Number 09-03008 William 8. I^keson, Jr. Mtoheita L. i^keeon Name of ttie Rftsnonrient Hearing Site: Cheriotte, Nortti Carolina Domlnk)ue Godfrey Henri Vercaemert Nature of ttie Dispute: Customer vs. Assoctated Person. REPRESENTATION OF PARTIES For Ctaknanto WHRam B. Lakeson, Jr. fW. Lakeson*^ and MtoheUe L. Lakeson CM. Lakeson'^, hereina

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03921 Mike Zack (Claimant) vs. James Fonseca and Investors Capital Corp. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rancho Mirage, CA. Respondent James Fonseca appeared pro se, Massapequa, NY. For Respondent Investors Capital Corp., appeared Rebecca S. Hice, Lynnfield, MA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: June 25. 2009 CASE SUMMARY: Claimant asserte

Award FINRA DIspufB Resolution In the Matter of the Arbitration Between: Robert A. Poochigian and Linda Poochlgian (Claimants) vs. Wachovia Securities, LLC (Respondent) Case Number 09-01981 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Robert A. Poochigian ("R. Poochigian") and Linda Poochigian ("L. Poochigian"), hereinafter collectively referred to as "Claimants": Nicholas J.

AWARD FINRA DISPUTE RESOLUTION CASE; 09-05873 Michael A. Dach (Claimant) vs. Vanguard Marketing Corporation (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Rockford, IL. For Respondent appeared Jennifer F. Hinderliter, Esq., Vanguard Marketing Corporation, Wayne, PA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 8, 2009 CASE SUMMARY: Claimant alleged that his account did not accurately reflect his holdings of 6,000 s

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04808 Walter A. Morris, III and Penni J. Morris; Walter A. Morris. Ill, SRA Group; Walter A. Morris, III, Roth Contributory IRA; Penni J. Moms, SRA Group; Penni J. Morris Roth Contributory IRA; and Penni J. Morris (Claimants) vs. Michael Douglas Hanke and Ameriprise Financial Services, Inc. (Respondents) REPRESENTATION OF PARTIES: Claimants appeared pro se, Pompano Beach, FL. For Respondent Michael Douglas Hanke ap