AWARD FINRA DISPUTE RESOLUTION CASE: 09-03903 William L. Price (IRA R/O) (Claimant) vs. Robert D. Krebs and Wachovia Securities, LLC (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, San Jose, CA. For Respondents appeared Judy Louie. Esq.. Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 24, 2009 CASE SUMMARY: Claimant asserted the

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03082 Raymond James & Associates, Inc. (Claimant) vs. Kevin Simpson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelli Bullington. Esq., Raymond James & Associates, Inc., St. Petersburg, FL. Respondent appeared pro se. West Palm Beach. FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 29. 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract.

AWARD FINRA DISPUTE RESOLUTION CASE: 08-04431 Nicholas McCormack (Claimant) vs. Wachovia Securities. LLC, A.G. Edwards & Sons. Inc., Lise Robinson and Jeffrey T. Zelin (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Nonn/alk, CT. For Respondents appeared Patricia E. Cowart, Esq.. Wachovia Securities, LLC, St. Louis. MO. NATURE OF DISPUTE: Customer v. Members and Associated Persons DATE FILED: November 24, 2008 CASE SUMMARY: Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04175 Estate of Norma L. Marks (Claimant) vs. PNC Investments, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Alan Gilmore. Esq.. Lynch. Osborne, Theivakumar & Gilmore LLC. Princeton. NJ. For Respondent appeared Brian A. Carlis. Esq., Stark & Stark. Lawrenceville. NJ. NATURE OF DISPUTE: Customer v. Member DATEFILED: July 13, 2009 CASE SUMMARY: Claimant asserted the following causes of action

Award Data Award: $7,500.00 Interest: at the rate of six percent (6%) per annum from September 24. 2008 until the award is paid Attorneys' Fees: $500.00 Costs: $750.00 Other: $0.00 AWARD: The undersigned ArtDitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $7,500.00. 2) Respondent is liable for and sha

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03954 Citigroup Global Markets. Inc. (Claimant) vs. Thomas M. Pie (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Chad Gottlieb. Esq.. Alonso. Andalkar & Kahn. PC. New York, NY. Respondent appeared pro se, St. Clairsville. OH. NATURE OF DISPUTE: Member v. Associated Person DATEFILED: July 1.2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of contract. Claim Data A

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Dino Dionne, National Securities Corporation, National Asset Management, Inc., and Worldwide Wealth Management Inc. (Respondents) Case Number: 07-03514 Hearing Site: New Yorl^, New Yorlc Nature of the Dispute: Member vs. Associated Person, Member, and Non-Members. REPRESENTATION OF PARTIES Claimant Chase Investment Servic

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimante Joseph H. Gibbons and Hilary L. Gibbons vs. Case Number: 08-04460 Hearing Site: Chicago, Illinois Names of Respondente Citigroup Global Marlcets, inc., Jay Hesdorffer, Marietta Hesdorffer, and Michael Coleman Customers vs. Member and Associated Persons Joseph H. Gibbons and Hilary L. Gibbons ("Claimants") appeared pro se. Citigroup Global M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Benjamin Rooks vs. Case Number: 09-01386 Hearing Site: Chicago, Illinois Name of Respondent William Biair & Company. LLC Associated Person vs. Member Benjamin Rooks ("Claimant") was represented by Jeffrey Grant Brown, Esq., Converse & Brown, LLC. Chicago, Illinois. William Blair & Company, LLC ("Respondenr) was represented by Tobias E. Schlueter,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 08-01993 Femand W. Vanler and Dorothy F. Vanier Nanro of the Respondent Hearing Sits: Los Ar^geles, Callibmia Menill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Femand W. Vanier ("F. Vanler^) and Dorothy F. Vanler ("D. Vanier^) hereinafter collecth/ely refenr