Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-01489 Ken Skuba Warren Farms Inc. Respondents Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Robert Walen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ken Skuba ("Skuba") and Warren Farms Inc. ("WFI"), hereinafter collectively referred to as "Claimants": James R. Anderson

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Claimants Case Number: 10-03587 George Tronsme Cindy Tronsrue Florence Tronsme Nancy Frel Jericho Fund, LLC Respondents Hearing Site: Seattle, Washington Phil Scott a/k/a Walter Schlaepfer Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, George Tronsrue ("

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00994 Eddie Martin King Respondents Hearing Site: Miami, Florida Citigroup Global Markets, Inc. Kevin McCarty Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Eddie Martin King, hereinafter referred to as "Claimant": Curtis Carlson, Esq., and Chase Carison, Esq., Carlson & Lewittes, P.A., Mia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael F. Young (Claimant) vs. Deutsche Park Securities, Inc. d/b/a Deutsche Bank Alex Brown (Respondent) Case Number: 09-05762 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Michael F. Young, hereinafter referred to as "Claimant": Paula D. Shaffner, Esq., Stradley Ronon Stevens & Young, LLP, Philadelphia,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gus Sekas (Claimant) vs. George Legakis and J.P. Turner and Company, LLC (Respondents) Case Number: 09-01700 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Gus Sekas, hereinafter referred to as "Claimant" appeared pro se. Respondents George Legakis ("Legakis") and J.P. Turner and Company, LLC (

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Harold J. Mathis, Jr. and Benjamin Mathis vs. Case Number: 09-04585 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Harold J. Mathis, Jr. and Benjamin Mathis ("Claimants") appeared pro se. Citigroup Global Markets, Inc. ("Respondent" or "Citigroup

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Earle A. Ray, Individually and for his IRA (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Jeffrey Dean Schrader (Respondents) Case Number: 09-06263 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Earle A. Ray, Individually and for his IRA, hereinafter referred to as "Claimant":

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-02713 Wells Fargo Investments, LLC Name of Respondent Hearing Site: Las Vegas, Nevada Christopher J. Gallo Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments, LLC. hereinafter referred to as "Claimanf or "Wells Fargo": Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Dona

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02653 Larry D. Merritt Respondent Hearing Site: Atlanta. Georgia Ameriprise Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Larry D. Merritt, hereinafter referred to as "Claimant": Regina Sledge Molden, Esq. and Nicholas Bedford, Esq., Molden Holley 8i Thompson, LLC, Atlanta, Georgia. For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roseann Lee and Charies Lee (Claimants) vs. Brian Young (Respondent) Case Number: 10-04626 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person. REPRESENTATION OF PARTIES Claimants Roseann Lee and Charies Lee, hereinafter collectively referred to as "Claimants" appeared Charies Lee. Respondent Brian Young, hereinafter referred to as "Respondent"