Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-04123 Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Respondents Hearing Site: Las Vegas, Nevada U.S. Bancorp Investments, Inc. Chad Roy Sillman Nature of the Dispute: Member vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Cl

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Claimant Case Number: 09-05335 Nicholas Stefanis Respondent Hearing Site: Atlanta, Georgia Oppenheimer & Co., Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Nicholas Stefanis, hereinafter referred to as "Claimant": James R. Hubbard, Esq., and Andrea M. Paparella, Esq., Liddle & Robinson, L.L.P., New York, NY.

Award FINRA Dispute Reaolutlon In the Matter of the Ariaitration Behween: Names of the Clalmante " Case Number: 09-06699 Thomas E. Kelly, Jr. National Securities Corporation Name of the Respondent Hearing Site: New Orieans, LA D. Duane Dorsey Nature of the Dispute: Member and Associated Person vs. Customer REPRESENTATION OF PARTIES For Thomas E. Kelly, Jr. ("Kelly") and National Securities Corporation ("NSC"), hereinafter collectiv

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Memll Lynch Intemational Finance Menill Lynch, Pierce, Fenner & Smith, Inc. Case Number 10-01141 vs. Respondent Daniel M. Hudson Hearing Site: New Orieans, Louisiana Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Merrill Lynch Intemational Finance and Merrill Lynch, Pierce, Fenner &

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimants James K. Heiser Joan E. Heiser Kendra B. Heiser Kenneth E. Heiser Case Number: 10-03698 vs. Respondent Newbridge Securities Corp. Hearing Site: Baltimore. Maryland Nature of the Dispute: Customere vs. Member REPRESENTATION OF PARTIES Claimants James K. Heiser, Joan E. Heiser, Kendra B. Heiser and Kenneth E. Heiser, hereinafter co

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimants Estate of Felicltas Castaneda Jose Castaneda Case Number: 09-02583 vs. Respondents Chase Investment Sen/ices Corp. JP Morgan Chase Bank WAMU Bank Leonard Gzesh Jack Christian Holt LPL Financial LLC Paul Rudy Vega Hearing Site: Los Angeles, California Nature of the Dispute: Customera vs. Membera, Associated Persons, and Non

Award FINRA Dispute Resolution in the IVIatter of the Arbitration Between: Claimants Norbert E. Simpson Darleen A. Simpson vs. Respondent Michael Anthony Abraham Case Number: 11-00127 Hearing Site: Denver, Colorado Nature of the Dispute: Customers vs. Associated Person The case proceeded under the Optional All Public Panel rule/ Ail Public Panel REPRESENTATION OF PARTIES Claimants Norbert E. Simpson, and Darleen A. Simp

Award FINRA Dispute Resoiution In the Matter of the Arbitration Behween: Claimant Case Number: 11-01663 Mitchell E. Kauffman vs. Respondent Debra D. Hunt Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant Mitchell E. Kauffman, hereinafter referred to as "Claimant": Samuel E. Endicott, Esq., Jones Bell Abbott Fleming & Fitzgerald, Los Angeles, CA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Robert Henry Lipka Case Number: 10-01554 ys. Respondents Katherine F. Alcorn Raymond James Financial Services, Inc. Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Robert Henry Lipka, hereinafter referred to as "Claimant": Howard S. Meyers, Esq.,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01923 Karen Kramer Richard Kramer IRA ys. Respondent Hearing Site: Philadelphia, Pennsylyania Morgan Stanley Smith Barney Nature of the Dispute: Customers ys. Member. REPRESENTATION OF PARTIES Claimants Karen Kramer ("K. Kramer"), and Richard Kramer IRA ("R. Kramer IRA"), hereinafter collectiyely referred to as "Claimants": Joel D