Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-03874 Arian Coulter Respondents Hearing Site: SeatUe, Washington Commonwealth Equity Sen/ices, LLP dba Commonwealth Financial Networic Daniel J. Wierema Edwanj W. Grogan IV Nature of the Dispute: Customer vs. Member and Associated Pereons REPRESENTATION OF PARTIES Claimant, Arian Coulter, hereinafter referred to as "Claimant": Richard D. B

Award FINRA Dispute Resolution In the Matter of the Art)itratlon Between: Name of the Claimant Christopher Winton Case Number 08-03243 Name of th? Respondent H&R Block Financial Advisora, Inc. a/k/a Ameriprise-AdvlsorSennces, Inc. Hearing Site: Dallas, Texas Name of tiie Cpunter-Ciaimant H&R Bk)ck Financial Advisora, Inc. a/k/a Ameriprise Advisor Servtees, Inc. Name of the Counter-Respondent Christopher Winton Nature of the Disput

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 08-00273 Edmund A. Gann, individually and as Trustee of the Edmund A. Gann Trust UTD 9/14/92 Respondents Hearina Site: San Diego, California UBS Financial Services Inc. James G. Shelbume Andrew D. Geller Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Edmund A. Gann, Individually and as T

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Resoondent Raymond James & Associates, Inc. vs. Name of Respondent / Counter-Claimant John Lagattuta Case Number: 08-02090 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Kelli Bullington, Esq., Raymond

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03308 TD Ameritrade, Inc., a New York Corporation (Claimant) vs. Kristina Goldfield, an Individual (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared R. Matthew Ingraham, Esq.. TD Ameritrade, Inc., Bellevue. NE. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Customer. DATEFILED: June4, 2009 CASE SUMMARY: Claimant asserted the following causes of action: breach of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cheryl Lynne Radey, Franl^ H. Radey III, and Patricia L. Radey (Claimants) vs. J.B. Hanauer & Co. (Respondent) Case Number: 08-03608 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Cheryl Lynne Radey ("C. Radey"), Frank H. Radey III ("F. Radey"), and Patricia L. Radey ("P. Radey"), hereinafter collectively

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01020 John K. Stahl (Claimant) vs. Fidelity investments Institutional Services Company. Inc.. and Fidelity Brokerage Sen/ices LLC. (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Del Mar, CA. For Respondents appeared Diane M. Brown, Fidelity Brokerage Sen/ices Company, Inc., Boston, MA. NATURE OF DISPUTE: Customer v. Members DATE FILED: February 14. 2009 CASE SUMMARY: Claimant alleged tha

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01546 Lincoln Investment Planning, Inc. (Claimant) vs. Linda Joan Bailey (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joshua S. Ganz, Esq., Timoney Knox. LLP. Fort Washington, PA. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 20, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Step Draw Agree

AWARD FINRA DISPUTE RESOLUTION CASE: 09-03442 Kent M. Forkner (Claimant) vs. Fidelity Brokerage Services LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hingham, MA. For Respondent appeared Erin K. Fair, Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 5, 2009 CASE SUMMARY: Claimant asserted the following causes of action: failure to execute and system error. The causes of a

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Waretown Properties. LLC (Claimant) vs. E*Trade Securities LLC and Clayton Grant Rimmer (Respondents) vs. Highgate Equities LLC and Abraham Frankl (Third-Party Respondents) Case Number: 08-02498 Hearing Site: New Yori^. New Yorit Nature of the Dispute: Initial Claim: Customer vs. Member and Associated Person. Third-Party Claim: Member and Associated Person vs. Customers. RE