AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Jack Loew, Ruth Loew, and the Loew Revocable Trust vs. Case Number: 10-04376 Hearing Site: Milwaukee, Wisconsin Names of Respondents Midamerica Financial Services, Inc., PivotPoint Advisors, LLC, and John Norquay NATURE OF THE DISPUTE Customers vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Jack Loew, Ruth Loe

AWARD FINRA DISPUTE RESOLUTION CASE: 11-01231 Memll Lynch, Pierce, Fenner & Smith, Inc. (Claimant) vs. Lawrence Alfred Krogsdale (Respondent) REPRESENTATION OF PARTIES: For Claimant: Jeffrey F. Manzella, Esq., Rubin, Fortunate & Harbison, PC, Paoli, Pennsylvania. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 25, 2011 CASE SUMMARY: Claimant asserted the following cause of action: bre

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Katy Chen and Ten Chen JT, Katy Chen Oust for Claire Chen, Katy Chen Oust for Joelle Chen, Katy Chen Cust for Marcus Chen, Katy Chen Roth \RA, and Ten Chen Roth IRA vs. Names of Respondents Charles Schwab & Co., Inc. and Kevin Turner Case Number: 10-03277 Hearing Site: Minneapolis, Minnesota NATURE OF THE DiSPUTE Customers vs. Me

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Memll Lynch, Pierce, Fenner & Smith Incorporated vs. Case Number: 10-01130 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Vincent Ross NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Claimant") was represented by Jeffrey M. Csercsevits, Esq., Rubin, Fo

AWARD FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of Claimant Darlene B. Hill, Trustee of the Darlene B. Hill Trust u/t/a 9-15-93, and Darlene B. Hill, an Individual vs. Names of Respondents Wachovia Securities, LLC a/k/a Wells Fargo Advisors, LLC, and UBS Financial Sen^ices, Inc., and Thomas G. Gresham Case Number: 09-05301 Hearing Site: Kansas City. Missouri NATURE OF THE DISPUTE Customer vs. M

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Ciaimant Case Number: 10-01876 Lehman Brothers Holdings, Inc. Respondent Hearing Site: San Francisco, California Bryon James Botsford Nature of the Dispute: Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Lehman Brothers Holdings, Inc., hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankel, LLP, New York, New York. Responden

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William E. Neidner, Jr., individually and as Trustee of the Margaret L. Neidner Trust DTD 6/25/84 (Claimants) vs. Newbridge Securities Corporation (Respondent) Case Number: 10-02021 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants William; E. Neidner, Jr., ("Neidner") individually and as Trustee of the M

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04720 Paul Victor Jarvis (Claimant) vs. U.S. Bancorp investments. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kenmore, WA. For Respondent appeared Erin Davenport, Esq., Dorsey & Whitney, LLP, Minneapolis, MN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: October 21, 2010 CASE SUMMARY: Claimant asserted the following cause of action: expungement of customer complai

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00216 Doris Dawson (Claimant) vs. Wells Fargo Advisors, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared D. Daxton White, Esq., The White Law Group, LLC, Chicago, IL. For Respondent appeared Alan S. Raftemnan, Esq., Wells Fargo Advisors, LLC, St Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 12,2011 CASE SUMMARY: Claimant asserted the following causes of action: unsuit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Aaron Bert(owitz (Claimant) v. Morgan Stanley Smith Bamey (Respondent) Case Number: 10-00749 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Aaron Berkowitz, hereinaifter referred to as "Claihiant": Adam M. Green, Esq., Law Office of Adam Green, Phiiadeiphia, PA. Respondent Morgan Stanley Smith Bamey, hereina