AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants John A. Warnken, Gene P. Andersen, and Joyce A. Andersen vs. Names of Respondents QA3 Financial Corporation. Darrel Amiot, and Lisa Greely Case Number: 11-00118 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Terminated Member and Associated Person The case proceeded under the Optional All Public Panel ru

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Blake Nunley vs. Case Number: 10-02566 Hearing Site: Dallas, Texas Names of Respondents EdgeTrade. LLC, Knight Capital Group. Inc., EdgeTrade. Inc.. EdgeTrade.Com. Inc.. and Knight Direct. LLC NATURE OF THE DISPUTE Associated Person vs. Members and Non-Member REPRESENTATION OF PARTIES James Blake Nunley ("Claimant") was repre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-04058 Merrill Lynch International Finance, Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Respondent Hearing Site: San Francisco, California Craig E. Isaacson Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Merrill Lynch International Finance, Inc., and Merrill Lynch,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 11-02805 Merrill Lynch, Pierce, Fenner & Smith Incorporated vs. Respondent Hearing Site: San Diego, California Gerald Daniel Ramirez Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Ken Massey, Esq., Rubin, Fort

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Keegan & Co., Inc. vs. Richard Aaron Paul Case Number: 09-02220 SITUS: Memphis, Tennessee NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Morgan Keegan & Co., Inc., hereinafter referred to as "Claimant": William McCourt Schmilt, Esq., Counsel for Morgan Keegan & Co., Inc., Memphis, Tennessee. Respondent did not enter an appearance

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Mary Ann landiorio Mary Ann landiorio Trust vs. Respondent Wells Fargo Advisors, LLC Case Number: 10-04062 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Mary Ann landiorio, and Mary Ann landiorio Trust, hereinafter co

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Winston S. Evans, Personal Representative for the Estate of Jeanne Smith Case Number: 10-02840 vs. Respondent Morgan Keegan & Company, Inc. Hearing Site: Nashville, Tennessee Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Winston S. Evans, Personal Representative for the Estate of Jeanne Smith, hereinafter re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane M. Deiss as Trustee of the Diane M. Deiss Living Trust dated 6/10/1999 vs. Case Number: 10-02769 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., William Schellenberg and Daniel Czapla NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-04531 Barry E. Jones vs. Respondent Edward Jones Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Barry E. Jones, hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky & Associates, LLC, New York, New York. For Edward Jones, hereinafter referre

AWARD FINRA DISPUTE RESOLUTION CASE: 11-02487 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Claimant") vs. Daniel Dennison ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman, Esq., Law Offices of Renan I. Sugarman, Chicago, Illinois. Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 17, 2011 CASE SUMMARY: Claimant asserted the cause of action of breach of