AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Sennces, Inc. vs. Case Number 09-05188 Hearing Site: Columbus, Ohio Name of Respondent Jeffrey Luke Westennan NATURE OF THE DISPUTE Member vs. Associated Person Ameriprise Financial Services. Inc. ("Claimant") was represented by Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. Jeffrey Luke Weste

Case Number 09-05258 Hearing Site: Columbus, Ohto NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Sennces, Inc. ("Claimanr) was represented by Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Michigan. David N. Moore did not appear. CASE INFORMATION The Statement of Claim was filed on or about September 9, 2009. The Submission Agreement of Claimant was signed on or about September

AWARD FINRA Dispute Rosolutlon In the Matter of the Arbitration Between: Names of Claimants Gregory Hunter and Virginia Hunter vs. Case Number 07-03068 Hearing Site: Detroit, Michigan Names of Respondents GunnAllen Financial, Inc.. Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., Inc. MATURE OF THE DISPUTF Customers vs. Members, Non-Members and Associated Person REPRESENTATION OF PARTIES Gr

Award FINRA DIaputo Resolution in the Matter of the Arbitration Between: Name of ttie Claimant Case Number 10-01047 BB&T Investment Services, inc. Names of the Respondente Hearing Site: Chariotte, Nortti Carolina Gray Keneston Daua WeUs Fargo Advisors, I^C Natore of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For BB&T Investment Services, inc., hereinafter referred to as "Claimanf: T. Jonattian Adams, E

Award nNRA DIaputo Reaoiutton in the Matter of tiie Ari^itratton Between: Name of the Claimant Q^ggNtifn^r; 09-01842 Domiciano Redondo Name of ttw Respondent Hearing Site: Oriando, Florida E*Trade Securities, LLC Natore of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Domiciano Redondo, hereinafter refened to as 'Claimant^: Allan P. Whitehead, Esq., Frese, Hansen, Ariderson, Anderson, Houston & Whitehead, P.A., Melbourne,

Stipulated Award FINRA DIaputa Raaolution In the Matter of the Arbitration Between: Names of the Claimants Case Numtier: 0&-01187 Richard Danielewski Bart)ara Danieiewsici Names of the Respondents Hearing Site: RichmorKi, Virginia Brace K. Aveilar Avellar Advisors, Inc. Synergy Investment Group, LLC Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES For Richard OanieiewsId and Bart>ara Daniele

Avrard RNRA Diepule ReeohiUon In tiie Matter of ttie Ariaitretion Between: Name Qt ttie Cteimant Case Number 09-02476 Oppenhelmer & Co., Inc. Name of tiie Reapondent HWflPg gift; Boca Raton, Ftorida Davto N. Frand Nature of the Dtepute: Member vs. Assocteted Person. rATlON OF PARTIES For Oppenhelmer & Co., inc., hereinafter referred to as "Clalmanr: Cory S. Zadanosky. Esq., Zadanosky & Associates, P.A., Laire Wortii, Ftorida. David N. Fra

Award FINRA DIsputo Resolution in the Matter of the Arbttration Between: Name oT tiie Cteimant Case Number 0&-04157 Banc of America Investment Sendees, inc. Name of tiie Respondent Hearino Sfte; Chartotte. North Carolina Joseph P. Roop Nature or the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc or America investment Services. Inc., hereinatter refiarred to as "CteimanT: David Smtth, Esq., Kane & Fischer. Ltd., Chic

Awsrd FINRA DIsputo Resolution In the letter or the Arbttration Between: Name or ttw Claimant Case Number. OS-03813 ' UBS Financtei Services. Inc. Nanrw or ttie Respondent Hearing SHe: Tampa, Florida Brian E. Prost Nature or the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Senfices Inc., hereinafter referred to as "Clalmanr: James J. McNatnara. Esq., Schuyter Roche. P.C., Chicago, lllinote. For Brian

Award FINRA Dtoputo Resolution in the Matter of tfie Arbitration Between: Names of the aaimante Case Number 09-02905 Cario D'Attili Robtes Cynttite Rivera FIgueroa Nanne of tiie Respondent Hearino Site: San Juan, Puerto Rico Orientei Financial Services. Corp. Nature of ttie Dispute: Customer vs. IMember. REPRESENTATION OF PARTIES For Cario D'Attili Robles and Cynthia Rivera FIgueroa, hereinafter collectively rafaned to as "Claimante": Rat