AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Tara Gutienez-Maddi vs. Case Number: 08-00693 Hearing Site: Kansas City. Missouri Names of Respondents AG Edwards & Sons, Inc. and Brian T. Wall NATURE OF THE DISPUTE Associated Person vs. Tenninated Member and Associated Person REPRESENTATION OF PARTIES Tare Gutlerrez-Maddi ("Claimant') was represented by Kiric D. Holman, Esq. and Tomas F. R

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent David A. Medina vs. Name of Respondent/Counter-Claimant Chase investment Services. Corp. Case Number: 08-03237 Hearing Site: Southfield, Michigan Associated Person vs. Member REPRESENTATION OF PARTIES David A. Medina ("Claimanr) was represented by Joni M. Pixel. Esq., Pixel Law Offices, PLLC, East Lansing, Michigan. Chase Inves

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Alice Stroud vs. Case Number: 08-02927 Hearing Site: Chicago, Illinois Names of Respondents MTL Equity Products. Inc., Ingrid M. MacCready-Miller, and Financial Planning Systems, Inc. NATURE OF THE DISPUTE Customer VS. Member, Associated Person, and Non-Member Mary Alice Stroud ("Claimant" or "Stroud") was represented by Douglas M. DeClue. E

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 09-02071 Hearing Site: Houston, Texas Name of Respondent Lawrence Clyde Mcintosh NATURE OF Tl Member vs. Associated Person Wachovia Securities, LLC ("Claimant" or 'Wachovia") was represented by Renan 1. Sugamnan, Esq., Renan Sugarman, PC, Chicago. Illinois Lawrence Clyde Mcintosh ("Respondent" or "Mcintos

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Raymond James & Associates. Inc. vs. Case Number 08-0447g Hearing Site: Chicago, Illinois Name of Respondent Don D. Steriovski NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Raymond James" or "Claimanr) was represented by Kelli Bullington, Esq., Raymond James & Associates, Inc., St.

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: John B. Griff (Claimant) vs. Putnam Lovell NBF Securities. Inc., National Bank of Canada Financial, Inc., and National Banc Financial, Inc. (Respondents) Case Number: 08-02811 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant John B. Griff hereinafter referred to as Xlaimant": Daniel A. Pollack. Esq., and W

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01982 Priscilla Martins (Ctaimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Port Orange. PL. For Respondent appeared John Bersin, Esq., E*Trade Securities LLC, Roseviile. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 9. 2009 CASE SUMMARY: Claimant asserted the following causes of action: wire transfer error, negligence, and error charges. The

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant Case Number: 08-01403 Charles Schwab & Co., Inc. Respondents Hearing Site: Albuquerque, New Mexico Lee Eugene Munson, and Portfolio LLC Counter-Claimant Lee Eugene Munson Counter-ResDondent Charles Schwab & Co., Inc. Nature of the Disputes: Member vs. Associated Person and Non-Member, and Associated Person vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in the Matter of the Arbitratkin Between: Name of the Claimant: Case Number: 08-00602 Alvin Relter. Taistee of the Alvin Relter MD Inc. Defined Benefit Trust and Tmstee of the Alvin Relter Living Trust Name of the Respondent: Hearing Site: Los Angeles, California Citigroup Global Maricets Inc. Nature of the Dispute: Customer vs. Memt>er REPRESENTATION OF PARTIES Claimant Alvin Relter. Trustee of the Alvin Relter

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 08-03604 Hearing Site: Houston, Texas Name of Respondent James P. Hutchinson. Jr. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Jonathan E. Levine, Esq., Law Office of Daniel S. Flore, Ariington, Virginia