Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark J. Porter, CFP (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 10-02618 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark J. Porter, CFP, hereinafter referred to as "Claimant": Richard M. Gelb, Esq., Gelb & Gelb LLP, Boston, MA. Respondent Ameriprise Financial Services

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00435 Morgan Stanley Smith Bamey, LLC (Claimant) vs. William G. Creamer (Respondent) REPRESENTATION OF PARTIES: For Claimant Samuel P. Mauch, Esq., Saretsky Hart Michaels & Gould PC, Bimningham, Michigan. For Respondent Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 28, 2011 CASE SUMMARY: Claimant asserted the following cause of action: Breach of a Promi

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Steven L. Auxter vs. Case Number: 10-00806 Hearing Site: Cleveland, Ohio Name of Respondent/Counter-Claimant Morgan Stanley Smith Barney LLC NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES Steven L. Auxter ("Claimant" or "Auxter") was represented by Jon J. Finney, Esq., Kohrman Jackson & Kr

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number; 09-01516 Wells Fargo Investments, LLC n/k/a Wells Fargo Advisors, LLC Name of Respondent/Counter-Claimant Hearing Site: San Francisco, California Ronald Todd Blevins Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 10-00555 Melvin and Evelyn Dias Respondent Hearing Site: Reno, Nevada Pershing LLC Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Melvin and Evelyn Dias, hereinafter referred to collectively as "Claimants": Scott R. Shewan, Esq., Pape & Shewan, L.L.P., Clovis, Califomia. Respondent, Pershing LLC, hereinafter referre

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Case Number: 09-02224 Chase Investment Sen/ices fka WaMu Investments, Inc. Name of Respondents Hearing Site: Seattle, Washington Dag Olov Magnus Brandfors Joshua James Hummel Teresa C. Herrick Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Chase Investment Services fka WaMu Investments, Inc.", hereinafter ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-03016 Vickie Tedesco Parrish, individually and as Trustee of the EB and Vickie Tedesco Family Trust Name of Respondents Hearing Site: Las Vegas, Nevada Jon Leif Erickson Patricia Michelle Fontan-Sorlie Wells Fargo Investments, LLC Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant

Award FINRA Dispute Resolution in the Matter of the Arbitration BebA^een: Alexander Albert Flores and Tiziana Rinaidi (Claimants) vs. Frank L. Davidson and Matthew R. Cox (Respondents) Case Number: 10-03470 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Alexander Albert Flores ("Flores") appeared pro se. Claimant Tiziana Rinaidi ("Rinaidi") appeared pro se. Flores and Ri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Keegan & Company, Inc. vs. Case Number: 10-02638 Hearing Site: Dallas, Texas Name of Respondent Michael Douglas Venable NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Claimant") was represented by Will S. Montgomery, Esq. and William M. Schmitt, Esq., Jackson Walker, LLP, Dallas,

AWARD FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Men-ill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 10-01983 Hearing Site: Dallas, Texas Name of Respondent Anthony T. Kemp NATURE QF THE PI8PUTE Member vs. Associated Person REPRESENTATION OF PARTIES Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Claimant") was represented by Gregg W. Marsano, Esq. and Sean G. Duffy, Esq., Rubin, Fortuna