AWARD FINRA DISPUTE RESOLUTION CASE: 10-04917 CCO Investment Sen/ices Corp. (Claimant) vs. Ted Alex Poulos (Respondent) REPRESENTATION OF PARTIES: For Claimant: David M Belcher, Esq., Belcher, Starr & Fitzgerald LLP, Boston, Massachusetts. For Respondent: Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 26, 2010 CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-07185 Paul Oshideri Respondents Hearing Site: Los Angeles. Califomia Fidelity Brokerage Sen/ices LLC National Financial Services LLC Frank Sanchez Lawrence Goodkind Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Paul Oshideri, hereinafter refen^ed to as "Claimant": Paul Oshideri, In Pro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-00562 Stan Schuldiner, Jr. Name of Respondent Hearing Site: San Francisco, California Vanguard Marketing Corporation Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Stan Schuldiner, Jr., hereinafter referred to as "Claimant": Stan Schuldiner, Jr., pro se, San Francisco, California. Respondent, Vanguard Market

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06493 Richard A. Orkin, Individually, and as Trustee of the DOCSI Corp. Profit Sharing Plan dtd 09/01/91 Sanford L. Orkin as President of DOSCI, LLC f/k/a DOCSI Corp., and on behalf of the DOCSI Corp. Profit Sharing Plan Name of Respondent Hearing Site: Los Angeles, Califomia Citigroup Global Markets, Inc. Nature of the Dispute: Custo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Samuel W. Crichton vs. Case Number: 11-00041 Hearing Site: Charleston, West Virginia Name of Respondent Thomas D. Johnson NATURE OF THE DISPUTE Associated Person vs. Customer The case proceeded under the Majority Public Panel rule/ Majority Public Panel REPRESENTATION OF PARTIES Samuel W. Crichton ("Claimant") was represented by Todd Ratner, Esq.,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Diane Lamb vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 10-01921 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Diane Lamb ("Claimant") was represented by Francis J. Landry, Esq., Wasserman, Bryan, Landry & Honold, LLP, Toledo, Ohio. Ameriprise Financi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number (Subordinate Case): 06-01154 Robert L. and Ruth R. Akers (consolidated with 07-02226) Tom and Ann Carlson Myrle R. and Joan E. Grate, Jr. Garry E. and Linda M. McCoppin KCM Investments, LLC Mary Ann Paske Chris D. and Christine R. Ruppel B&G Sign, LP Artjor Station III, Ltd. Irma Waddell Respondents Hearing Site: Tampa, Florida Bear,

Award FINRA Dispute Resolution in the Matter of the Art^itration Between: Claimant Case Number: 10-01546 Susan inbar-Grecco, individually, and as trustee of the Susan Inbar-Grecco Trust (formeriy known as the Susan Inbar-Smlth Trust) dated 9/13/1989 Respondents Hearing Site: Los Angeles, California Menill Lynch, Pierce, Fenner & Smith incorporated Jose M. Lamas Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTA

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06578 Leo David Ruth David R&D Development Name of Respondents Hearing Site: Los Angeles, California IDB Capital Corp. Gal Ben-Naim Israel Discount Bank Nature of the Dispute: Customers vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants, Leo David, Ruth David, and R&D Development, hereinafter collecti

AWARD FINRA DISPUTE RESOLUTION CASE: 10-04348 Joseph Hunt Bowman and Timothy W. Bowman vs. Deutsche Bank Alex.Brown REPRESENTATION OF PARTIES: For Claimants: Alan S. Wachs, Esq. and Craig D. Feiser, Esq., Voipe, Bajalia, Wickes, Rogerson & Wachs, Jacksonville, Florida. For Respondent: Theodore R. Snyder, Esq., Krebsbach & Snyder, New York, New York. NATURE OF DISPUTE: Customer v. Member. DATE FILED: September 23, 2010. CASE SUMMARY: Claimants