AWARD FINRA DISPUTE RESOLUTION CASE: 09-01914 Wachovia Securities, LLC (Claimant) vs. Kelley Dean (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. Respondent appeared pro se, Detroit, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 8. 2009 CASE SUMMARY: Claimant asserted the following cause of action: balance owed pursuant to tenns of employme

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brenda K. Gaidmore and Gerald P. Gaidmore (Claimants) vs. Paul Bedinger, Richard lannacone, and A.G. Edwards & Sons, Inc. (Respondents) Case Number: 07-03322 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customers vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimants Brenda K. Gaidmore ("Brenda Gaidmore") and Gerald P. Gaidmore ("Gerald Gaidmore

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Wade Contney (Respondent) Case Number: 07-01200 Hearing Site: Providence. Rhode Island Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.

AWARD FINRA DISPUTE RESOLUTION CASE: 09-01859 James R. Uehlein (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se. Owosso. Ml. For Respondent appeared Adam Kauff, Esq.. Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 31. 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute. The cause of action relates to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-02988 Shiriey A. Jeup, Individually and as Owner of her IRA Names of the Respondents Hearina Site: Cieanwater, Florida Spencer Intemational Advisors, Inc. Scott A. Spencer Nature of the Dispute: Customer vs. Non-Member. REPRESENTATION OF PARTIES For Shiriey A. Jeup, Individually and as Owner of her IRA, hereinafter collectively

stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 08-01298 Helen M. DeCario Names of the Respondents Hearina Site: Orlando, FL Ameriprise Financial Sen/ices, Inc. Mark Marshall Tom Romanac Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Helen M. DeCarlo. hereinafter referred to as Xlalmant": Mark S. Guralnick, Esq., West B

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 09-01574 Bryant Charles North Name of the Respondent Hearing Site: Atlanta, Georgia Alan R. Parker Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Bryant Charles North, hereinafter referred to as "Claimant," appeared pro se. Alan R. Pari^er, hereinafter referred to as "Respondent," appeared pro se.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02027 Midsouth Capital, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Raymond James & Associates, Inc. Nature of the Dispute: Member vs. Member REPRESENTATION OF PARTIES For Midsouth Capital, Inc., hereinafter refiened to as "Claimant": Steven Parker, Esq., Page Perry. LLC, Atlanta, Georgia. For Raymond, James & Assoc

Award FINF^ Dispute Resolution In the flatter of the Arbitration Between: Name of the Claimant Case Number. 09-01368 Citigroup Global IVlaricets, inc. Name of the Respondent Hearing Site: Baltimore, Maryland James C. Hodges Nature ofthe Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Thomas J. Momjian, Esq. and Christopher C. Coss, Esq., Coss & Momjian

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names ofthe Claimants Case Number: 08-03618 Ameriprise Financial Services, Inc. Ameriprise Financial, Inc. Name of the Respondent Hearino Site: Baltimore, Maryland Martin A. Smith Nature ofthe Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc. and Ameriprise Financial, Inc., hereinafter collectively