AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants First Command Financial Planning, Inc., First Command Bank, and First Command Financial Services, Inc. vs. Case Number: 09-03976 Hearing Site: Dallas, Texas Names of Respondents Kenneth A. Davey, Barry D. Todd, and Doyle Price, Jr. NATURE OF THE DISPUTE Member and Non-Members vs. Associated Persons REPRESENTATION OF PARTIES First Command

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Fidelity Brokerage Services, LLC vs. Case Number: 08-04914 Hearing Site: Chicago, Illinois Name of Respondent James J. Miller, Sr. NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Fidelity Brokerage Services, LLC ("Claimant") was represented by Laurence K. Richmond, Esq., Laurence K. Richmond & Associates, P.C., Quinc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John A. Conarpe, Sr. (Claimant) vs. Essex National Securities. Inc. and Timothy J. Bartholomew (IRespondents) Case Number: 10-00882 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John A. Conarpe, Sr., hereinafter referred to as "Claimant": Salvatore D. Feriazzo, Esq., Girvin & Ferlazzo, P.C., Alb

AWARD FINRA DISPUTE RESOLUTION CASE: 10-05274 Morgan Stanley Smith Barney, LLC (Claimant) vs. Christopher Keosseian (Respondent) REPRESENTATION OF PARTIES: For Claimant Morgan Stanley Smith Barney, LLC, Alan S. Brodherson. Esq., Law Office of Alan S. Brodherson, New York, NY. Respondent Christopher Keosseian did not enter an appearance In this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 19. 2010 CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carole Liotti (Claimant) vs. Morgan Wilshire Securities, Inc.. Woodstock Financial Group.. Inc., and Brian Mandart (Respondents) Case Number: 10-03241 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Carole Liotti, hereinafter referred to as "Claimant": Benedict L. Sliney, Esq., Leventhal and Sli

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01142 TD Amerltrade, Inc., a New Yori< Corporation Respondent Hearing Site: Raleigh, North Carolina Adeline Cerveira, an Individual Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For TD Ameritrade, Inc., a New York Corporation, hereinafter referred to as "Claimant": R. Matthew Ingraham, Esq., TD Ameritrade. Inc., Bellevue, N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-01897 Deborah Gandy Respondent Hearing Site: Washington. D.C. Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Deborah Gandy, hereinafter referred to as "Claimant": Patricia L. Payne, Esq., Payne & Associates, Washington D.C. For Citigroup Global Markets Inc., hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02723 Carmen Gordo-Martino Respondents Hearing Site: San Juan, Puerto Rico UBS Financial Services Inc. of Puerto Rico Eric Snyder Magda Brocco Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Camnen Gordo-Martino, hereinafter referred to as "Claimant": Ralph Vallone Jr., Esq., Ralph Vallone Law Of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 10-01695 Clifl'ord B. Newton Dorothy L. Newton Names of the Respondents Hearing Site: Jacksonville, Florida SunTrust Bank. Thomas William Shaw Nature of the Dispute: Customer vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For Clifford B. Newton and Dorothy L. Newton, hereinafter collectively referred to as "Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-05242 Morgan Stanley Smith Barney, LLC Name of Respondent Hearing Site: Los Angeles, California Kurtis Linn Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley Smith Bamey, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Ton-ance, California.