Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02587 Wachovia Securities, LLC Name of the Respondent Hearing Site: San Francisco, California Michael Angel Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Timothy N. Will, Esq., Albert & Will, LLP, Torrance, California. Respond

Award FINRA Dispute Resolution In the Matter of the Aribitration Between: Name of Claimants Case Number: 10-01475 Luis Alvira H. Justin Drobenaire Name of Respondents Hearing Site: San Francisco, California Iron Capital Securities, LLC Iron Capital Holdings LLC Jason Ryan Blum Dixon Doll. Jr. Don Basile Henry Wolfgang Carter Nature of Dispute: Associated Persons vs. Member, Associated Persons and Non-Members REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Marconi vs. Name of Respondent Peter Gaetano Amato Case Number: 10-04943 Hearing Site: Houston, Texas NATURE QF THE DISPUTE Customer vs. Associated Person REPRESENTATION (?F PARTIES David Marconi ("Claimant" or "Marconi") was represented by Michael Floreani, Esq., Fioreani & Moreland, LLP, Wimberely, Texas. Peter Gaetano Amato ("Respond

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Peter Kortemeyer vs. Case Number: 10-00258 Hearing Site: Chicago, Illinois Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Peter Kortemeyer ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, PC, Troy, Michigan. Charles Schwab & Co., Inc. ("Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Maricets, Inc. d/b/a Smith Barney vs. Case Number: 09-03430 Hearing Site: Cleveland, Ohio Name of Respondent/Counter-Claimant Patrick Murray NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets. Inc. d/b/a Smith Barney ("Claimant") was represented by Catania

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant William P. Doran vs. Case Number: 09-00450 Hearing Site: Dallas, Texas Names of Respondents RBC Wealth Management, a division of RBC Capital Markets Corporation and J. Thomas Miller NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES William P. Doran ("Claimant" or "Doran") was represented by Mark H. How,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05737 John L. Norris & Vivianne Norris JT Ten John L. Norris Charles Schwab & Co., Inc. Cust IRA Rollover Vivianne Norris Charles Schwab & Co., Inc. Cust IRA Rollover Names of the Respondents Hearing Site: Birmingham, AL Charles Schwab & Co., Inc. Kimon P. Daifotis Nature of the Dispute: Customer vs. Member and Associated Pe

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06430 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Tampa. Florida Joseph A. Jackson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Larry J. Lipka, Esq., Kane & Fischer, Ltd., Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Case Number: 09-06111 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of Respondents/Counter-Claimants Hearing Site: Honolulu, Hawaii Carl E. Choy Lynne R. Kinney Ronald C. Wo Name of Third-Partv Claimant Erin Rae Choy Name of Third-Party Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Di

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number. 09-05396 Edward Blackoff, Trustee of the Revocable Living Trust of Edward and Sasa Blackoff NNN Aventura Harbor 14 LLC Name of Respondents Hearing Site: Los Angeles, California Jeffrey S. Gunnan Damien P. Gallagher Grubb & Ellis Securities, Inc. Woodbury Financial Sen/ices, Inc. Name of Counter-Claimant Grubb & Ellis Securities, Inc