AWARD FINRA DISPUTE RESOLUTION CASE: 11-00098 Edi Franceschini and Lucinda Franceschini Joint Tenants, Edi Franceschini, and Lucinda Franceschini (Claimants) vs. TI/\A-CREF Individual & Institutional Services, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Edi Franceschini, Mattituck, NY. For Respondent appeared Carranza M. Pryor, Esq., TIAA-CREF Individual & Institutional Services, LLC, Charlotte, NC. NATURE OF DISPUTE: Custom

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05317 Larry E. Tolbert and Jon C. Tolbert (Claimants) vs. Zions Direct, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimants appeared pro se, Bluefield, WV. For Respondent appeared Leigh Davis-Schmidt, Zions Direct, Inc., Salt Lake City, UT. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 23, 2010 CASE SUMMARY: Claimants asserted the following causes of action: negligence, failure to supervise

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02988 Deanna Chesnut (Claimant) vs. James Gatto, Jeremy Reynolds, David Ackel, Lewis Arien Shuffler, Pat Robertson, Cal J. Smith, James N. Jackson, Wells Fargo Investments, LLC, Wells Fargo Investment Group, LLC, Wells Fargo & Company, Kathryn Bolner, and John Miller (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cedar Park, TX. For Respondents appeared Vanessa M. Hoffman, Esq., Wells Fargo I

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Dr. irakli Glonti and David Dateshidze (Claimants) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 10-02458 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Dr. Irakli Glonti ("Glonti") and David Dateshidze ("Dateshidze"), hereinafter collectively referred to as "Claimants": Arnold I. Kalman, Esq., Philadelphi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kari E. Hahn (Claimant) vs. Deutsche Bank Securities, Inc. (Respondent) Case Number: 09-04735 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kari E. Hahn, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Stephen F. Gordon, Esq., The Gordon Law Firm, Boston, MA. Previously

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen R. Keenan and Julia A. Keenan (on behalf of their respective Individual Retirement and Annuity Accounts) (Claimants) vs. Fidelity Brokerage Services LLC (Respondent) Case Number: 09-03793 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES Claimants Stephen R. Keenan (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Gregory J. Kenzik (Respondent) Case Number: 09-00286 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney, hereinafter referred to as "Claimant": Mark J. Alonso, Esq., Alonso, Andalkar, Toro, Facher

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lehman Brothers Holding Inc., as assignee of Lehman Brothers Inc. (Claimant) v. Pauline Sheedy(Responderit) Case Number: 10-01866 Hearing Site: Boston. Massachusetts Nature of the Dispute: Non-Member vs. Associated Person. REPRESENTATION OF PARTiES Claimant Lehman Brothers Holding Inc., as assignee of Lehman Brothers Inc., hereinafter refenred to as "Claimant": Neil A. Sussman, E

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05428 Elephant Enterprises, Inc. (Claimant) vs. Edward Jones (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Charles O'Sullivan, Polk City, FL. For Respondent appeared Dennis J. Capriglione, Esq., Edward Jones, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 29, 2010 CASE SUMMARY: Claimant alleged monetary damages in connection with liquidation of their account. C

Award FiNRA Disputa Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05898 Daniel L. Viilanueva Family Trust Name of Respondents Hearing Site: Los Angeles, Califomia Wedbush Securities Inc. Javier Rivera Jimenez Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Daniel L. Viilanueva Family Trust, hereinafter referred to as "Claimanf: Aimee E. Dominguez, Esq.