Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 11-00765 Jean Poole and Dolores Poole, as tmstees of the Poole Family Revocable Trust, dated December 15,1995 vs. Respondents Hearing Site: Phoenix, Arizona Perelman-Carley & Associates n/k/a Farnam Street Brokerage Company Robert Winston Carley William Ellis Turner StockCross Financial Services, Inc. Counter-Claimant Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Rose Marie Gannon vs. Respondent Charles Schwab & Co., Inc. Case Number: 11-00575 Hearing Site: Denver, Colorado Nature of the Dispute: Customer vs. Member The case proceeded under the Majority Public Panel mIe/Majority Public Panel. REPRESENTATION OF PARTIES Claimant Rose Marie Gannon, hereinafter referred to as "Claimant": Robert W. Hutc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Carroll L. Joachimi Susan S. Chandler Danny H. Northcutt, Sr. Daniel M. Dean Donna K. McEniry Patricia A. Hendricks Judy J. Joachimi Julian T. Trotter and Sheila A. Trotter Norman Marik Patti Stuart Reed Julia Ann Sexton Thomas R. Dew Walter L. Reed, Jr. Case Number: 10-03384 vs. Respondent Morgan Keegan & Company,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04446 Lee Amos Miller III, as Trustee of the Family Trust Agreement of Olivia P. Miller vs. Respondents Hearing Site: Baltimore, Maryland John Joseph Cvach Lorraine Ann Flowers Terry Michael Reinhart Robert Eugene Steiner Angela Marie Treff Brian Michael Zaid Nature of the Dispute: Customer vs. Associated Persons REPRES

Award FINi^ Dispute Resolution In the Matter of the ArtDitration Between: Claimant Maxim Minevich Case Number: 10-04973 vs. Respondent Wells Fargo Advisors, LLC Hearing Site: Baltimore, Maryland Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Maxim Minevich, hereinafter referred to as "Claimant": Marc D. Schifanelli, Esq., Law Offices of Marc D. Schifanelli, Annapolis, MD. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-05212 William Jeff Brooks vs. Respondents Hearing Site: Atianta, Georgia Lawrence Spaulding Rule, Jr. Wells Fargo Advisors, LLC Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For William Jeff Brooks, hereinafter referred to as "Claimant": Cary Ichter, Esq., Ichter Thomas LLC, Atianta, Geo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Greystone Park Mobile Homes, Inc. Joseph J. Guidish, Sr. Jerome J. Guidish Case I^Jumber: 11 -04008 vs. Respondent Maureen Maloney Hearing Site: Boca Raton, Florida Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES For Greystone Park Mobile Homes, Inc., Joseph J. Guidish, Sr., and Jerome J. Guidish, here

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-06592 Ameriprise Financial Services, Inc. vs. Respondent Hearing Site: Washington, D.C. Thomas F. Flaherty Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Diane C. Fischer, Esq., and William P.

AWARD FINRA DISPUTE RESOLUTION CASE: 11-03141 Ameriprise Financial Services, Inc. (Claimant) vs. Jeffrey Lavoie (Respondent) REPRESENTATION OF PARTIES: For Claimant: Edward A. Walton, Esq., Ameriprise Financial Services, Inc., Detroit, Ml. Respondent did not enter an appearance. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: August 9, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of promissory notes.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants IVIr. Michael J. Riniker and Mrs. Patricia A. Riniker vs. Name of Respondent Locust Street Securities, Inc. Case Number: 11-02112 Hearing Site: Chicago, Illinois NATURE OF THE DISPUTE Customers vs. Member The case proceeded under the Optional All Public Panel rule / Majority Public Panel REPRESENTATION OF PARTIES Mr. Michael