Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Master Consolidated Case Number: 09-04827 Shirley Sanders Duane Sanders James M. Thomas Name of Respondents Hearing Site: Denver, Colorado Allianz Life Financial Services, LLC Shannon M. Bryant Consolidated with: Name of Claimants Subordinate Case Number: 09-04828 Woodrow P. Cole James M. Thomas Name of Respondent Hearing Site: Denver, Colora

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00233 Ameriprise Financial Services, Inc. (Claimant) vs. Greggory Vinson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Edward Walton, Esq., Ameriprise Financial, Services, Inc., Detroit, Ml. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 14, 2011 CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 11-00135 Wells Fargo Advisors, LLC, formerly known as Wachovia Securities LLC (Claimant) vs. Laurence Debord (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael Naccarato, Esq., Wells Fargo Advisors, LLC, St Louis, MO. Respondent appeared pro se, Yorkville, IL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 11. 2011 CASE SUMMARY: Claimant asserted the following cause o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Keith Minnema (Claimant) vs. E*Trade Securities LLC (Respondent) Case Number: 10-03876 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES Claimant Keith Minnema, hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann Gildin Robbins & Oppenheim LLP, New York, NY. Respondent E*Trade Securities LLC, hereinafter ref

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Alan M. Mendelson and Peggy Mendelson vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Geoffrey G. Gregory Case Number: 10-00520 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Alan M. Mendelson ("A. Mendelson") and Peggy Mendelson ("P. Mendelson"), hereinafter collectively referred to a

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Doris Cacace (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 09-03222 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Doris Cacace, hereinafter referred to as "Claimant": Nicholas J. Taldone, Esq., Law Office of Nicholas J. Taldone, Clean^^ater, FL. Respondent Ameriprise Financial Service

Amended Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 10-01997 Anne Bradshaw Respondents Hearing Site: Anniston, Alabama Wachovia Securities, LLC Nancy Lipham Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne Bradshaw, hereinafter referred to as "Claimant": Jeff S. Daniel, Esq., Law Office of Jeff S. Daniel, P.C., Bimningham, Alabama and Dougla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-06014 Anthony Balzebre Dorothy Balzebre Balzebre Alpha LP Name of the Respondent Hearing Site: Miami, Florida Merrill Lynch, Pierce, Fenner & Smith, inc. Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For Anthony Balzebre ("A. Balzebre"), Dorothy Balzebre ("D

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Leslie Ebeling, Leslie J. Ebeling, Custodian of his IRA, and Janice R. Ebeling vs. Names of Respondents Okoboji Financial Services, Inc., Donahue Edwin Jones, Ralph Stacey Schneider, and Ralph Roberts Schneider Case Number: 10-01715 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Terminated Member and Associa

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Services, Inc. vs. Name of Respondent Terri Jo Evans Case Number: 10-04211 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Claimant") was represented by Edward Walton, Esq., Ameriprise Financial, Detroit, Michigan. Ter