AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan Klein Trustee of Alan J Klein Trust vs. Case Number: 10-03883 Hearing Site: Chicago, Illinois Names of Respondents TD Ameritrade, Inc. and TD Ameritrade Clearing, Inc. NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Alan Klein Trustee of Alan J Klein Trust ("Claimant") appeared pro se. TD Ameritrade, Inc. ("TDA") and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Randall Vavrina, Janice Vavrina, Randall E. Vavrina Trust Account, and Bari^ara Vavrina vs. Case Number 10-03436 Hearing Site: Omaha, Nebraska Name of Respondent E^Trade Securities LLC NATURE QF THE PISPUTE Customers vs. Member REPRESENTATION OF PARTIES Randall Vavrina. Janice Vavrina. Randall E. Vavrina Trust Account, and Barbara Vavrin

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03757 Morgan Keegan & Company, Inc. (Claimant) vs. John Hagler Hopkins (Respondent) REPRESENTATION OF PARTIES: For Claimant Shea O'Brien Hicks, Esq., Morgan Keegan & Co., Inc., Memphis, Tennessee. For Respondent Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 19, 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: Names of Claimants John M. Colley and LaNita Coliey vs. Case Number: 09-6203 Hearing Site: Dallas, Texas Name of Respondent Morgan Keegan & Company, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES John M. Colley ("J. CoWef) and LaNita Colley ("L. Colley"), hereinafter collectively refered to as "Claimants," were represented by W. David Ca

AWARD FINRA DISPUTE RESOLUTION CASE: Arbitration Number 10-02159 Wells Fargo Advisors, LLC (Claimant) vs. John Jerome O'Hara (Respondent) REPRESENTATION OF PARTIES: For Claimant: Renan I. Sugarman. Esq., Renan Sugarman, P.C., Chicago, Illinois For Respondent: Respondent did not appear NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 5, 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: Names of Claimants Orrin Edward Lebrew, Christine Megan O'Leary, and Edward Troy Harmon vs. Name of Respondent BNY Mellon Capital Markets. LLC Case Number: 10-02363 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Orrin Edward Lebrew ("Lebrew"), Christine Megan O'Leary ("O'Leary") and Edwa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ameriprise Financial Services, Inc. (Claimant) vs. Jason Peroni (Respondent) Case Number: 09-06212 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane. Esq., Kane & Fischer, Ltd., Chicago. IL. Respondent Jason Pero

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-03465 Edward J. Schiavi Name of Respondent Hearing Site: Albuquerque, New Mexico Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Edward J. Schiavi, hereinafter referred to as "Claimanf: Christopher M. Moody, Esq., Moody & Warner, P.C., Albuquerq

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-03819 B. Wilmont Williams Respondents Hearing Site: Atlanta, Georgia SunTrust Investment Services, Inc. d/b/a Alexander Key Roger C. Shaffer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For B. Wilmont Williams, hereinafter referred to as "Claimant": Matthew M. Wilkins, Esq., King & Yak

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02648 Next Financial Group, Inc. Respondent Hearing Site: Orlando, Florida William Abruzzino Nature of the Dispute: Member vs Associated Person. REPRESENTATION OF PARTIES For Next Financial Group. Inc., hereinafter referred to as "Claimant": Owen P. McGill, Esq., Shumaker, Loop & Kendrick. LLP, Tampa, Florida. William Abruzzino, hereinafter r