AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of Claimant Todd D. Simon vs. Name of Respondent Oppenheimer & Company, Inc. Case Number: 09-07108 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Todd D. Simon ("Claimant") was represented by Diane A. Nygaard, Esq., Kenner, Schmidt & Nygaard, LLC, Kansas City, Missouri. Oppenheimer & Company, Inc. ("R

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00644 Rocco Guidicipietro (Claimant) vs. Joseph DeGregorio (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Hazlet, NJ. For Respondent appeared Benjamin Suess, Esq., Schrader & Schoenberg, LLP, New York, NY. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: February 14, 2011 CASE SUMMARY: Claimant asserted the fo

Award FINRA Dispute Resolution In the Matter of the Arisitratton Between: Claimant Case Number: 10-00722 Antonio J. Calderon Respondent Hearino Site: Las Vegas, Nevada Edward Jones Nature of the Dispute: Customer vs. Member Public Arisitrator Pilot Program/Majority Public Panel REPRESENTATION OF PARTIES Claimant, Antonio J. Calderon. hereinafter referred to as "Claimant": Steven D. Toskes, Esq., Klayman & Toskes, P.A., Boca Raton, Florida.

STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 10-04841 Securities America, Inc. (Claimant) vs. Arra Poghossian (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Kelly R. Davis, Esq., Securities America, Inc., La Vista, NE. Respondent appeared pro se, Westfield, IN. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 21, 2010 CASE SUMMARY: Claimant, Securities America, Inc. ("SAI"), alleged non-payment of the outstandi

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00218 Thomas M. Hunter, Sr. (Claimant) vs. Kel Stovall and Roger Wilkinson (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Augusta, GA. Respondent Roger Wilkinson appeared pro se, Evans, GA. For Respondent Kel Stovall appeared Deirdre C. Wolff, Esq., Wells Fargo Advisors, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associated Persons DATE FILED: January 12, 2011 CASE SUMMARY: C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01428 Barclays Capital Inc. Respondent Hearing Site: Miami, Florida Edelmiro Ernesto Hernandez Third Party Respondents Barclays Bank PLC Jack Petersen Tom Kalaris Nature of the Dispute: Member vs. Associated Person vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For Barclays Capital Inc., hereinafter referred to as 'Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01872 Lehman Brothers Holdings Inc. as assignee of Lehman Brothers Inc. Respondent Hearing Site: Miami, Florida Felipe Britto Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Lehman Brothers Holdings Inc. as assignee of Lehman Brothers Inc., hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman

AWARD FINRA Dispute Resolution In the Matter of the Ari^itration BehA/een: Names of Claimants Christian M. Malm, Signe M. Belden, Heidi M. Maim, Erick W. Malm, and Niel M. Malm vs. Name of Respondent Charies Schwab & Co., Inc. and Name of Third-Party Claimant Charies Schwab & Co., Inc. vs. Name of Third-Party Respondent Reita R. Malm Case Number: 10-04653 Hearing Site: Chicago, Illinois HE PlSPUie Customers vs.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of the Claimant Case Number: 10-04445 Evanna Ondeck Cohen TTEE Evanna Ondeck Cohen Rev Tr U/A 10/24/96 Name of the Respondent Hearing Site: Oriando, Florida Securities America, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Evanna Ondeck Cohen TTEE Evanna Ondeck Cohen Rev Tr U/A 10/24/96, hereinafter referred as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00365 Peter O'Rourke Names of the Respondents Hearing Site: Washington. D.C. Mercer Capital Ltd. Anthony Salino Felix Roman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Peter O'Rourke, hereinafter referred to as "Claimant": Scott L. Silver, Esq. and Janine D. Gariitz, Esq., Blum &