Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (Claimant) vs. Brian J. Wiegand (Respondent) Case Number: 09-06045 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets Inc., hereinafter referred to as "Claimant": Catania Fachor, Esq., and Yana Kromo, Esq., Alonso, Andalkar & Kahn, P.C., New York, NY. Respo

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Robert Petrowski vs. Names of Respondents Jon Goldstein, Kyle Kerkenbush, and Amanda Gausewitz and Name of Counter-Claimant Jon Goldstein vs. Name of Counter-Respondent Robert Petrowski Case Number: 10-02517 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Associated Persons REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mohan Selvardj vs. Case Number: 09-05115 Hearing Site: Chicago, Illinois Name of Respondent Thinkorswim, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mohan Selvardj ("Claimant") was represented by Christopher J. Murdoch, Esq., Holland & Knight, LLP, Chicago, Illinois. Thinkorswim, Inc. ("Respondent") was represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Bebveen: Claimants Case Number: 10-02276 Robert W. Ralston Susan B. Ralston Respondents Hearing Site: Los Angeles, Califomia Syndicated Capital, Inc. and Paul H. Heckler d/b/a Yosemite Capital Management Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Robert W. Ralston and Susan B. Ralston, hereinafter referred to collecti

Award FiNRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 10-03178 Michael Popick Respondent Hearing Site: Denver, Colorado Wells Fargo Advisors, LLC Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Michael Popick, hereinafter refen^ed to as "Claimant": Russell K. Bean, Esq., Cianahan, Beck & Bean, P.O., Denver, Colorado. Respondent, Wells Fargo Advisors, LLC, hereina

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01482 Denice S. Niethammer Respondents Hearing Site: Chariotte, North Carolina Edward Jones Robert Andrew Roth Nature of the Dispute: Customer vs. Member and Associated Person, REPRESENTATION OF PARTIES Denice S. Niethammer, hereinafter referred to as "Claimant," appeared pro se. For Edward Jones and Robert Andrew Roth ("Roth"), hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 09-06757 Stephen Miller and Dawn Miller Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Stephen Miller and Dawn Miller, hereinafter collectively referred to as "Claimants": Jeffrey Erez, Esq, Sonn & Erez, Fort Lauderdale, Florida. For Merril

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Keith Houser, Individually and on behalf of Biotech Medics, Inc. vs. Case Number: 10-02366 Hearing Site: Dallas, Texas Name of Respondent Nevwest Securities Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Keith Houser, Individually and on behalf of Biotech Medics, Inc. ("Claimant") was represented by Keith G. Sm

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00386 UBS Financial Services, Inc. (Claimant) vs. James M. Porrazzo (Respondent) REPRESENTATION OF PARTIES: Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Julian W. Wells. Esq., Riker Danzig Scherer Hyland and Pelrretti, Morristown, NJ. Respondent James M. Porrazzo, hereinafter referred to as "Respondent" did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Asso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael L. Blau IRA, Thomas J. Bucknum IRA, Hans L. Carstensen III IRA, Nader Darehshori IRA. Clifford P. Diver, Jr., Peter P. Jenkins, Betsy S. Pollack, as Trustee of the Betsy S. Pollack Trust. Elaine M. Royce. and Darren R. Scandone as Trustee of the Darren R. Scandone Trust (Claimants) vs. Jefferies & Company. Inc. and Michael L. Munson (Respondents) Case Number: 09-07248 Hearing