AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roy Cook VS. Names of Respondents Baker Tilly Virchow Krause, LLP, Baker Tilly Capital, LLC, and Baker Tilly Investment Advisors, LLC and Name of Claimants Case Number: 09-05477 Hearing Site: Chicago, Illinois Consolidated with: Baker Tilly Virchow Krause, LLP f/k/a Virchow Krause & Company, LLP, Baker Tilly Capital, LLC, and Baker Ti

Case Number: 10-03028 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES Ellis Nurogar Liddeil ("Claimant") appeared pro se. Margaret Grifflth ("Respondent") appeared pro se. CASEJNEQSMATIQN The Statement of Claim was filed on or about July 1,2010, The Submission Agreement of Claimant, Ellis Nurogar Liddell, was signed on or about May 27. 2010. The Statement of Answer was filed by Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joel LaGore vs. Names of Respondents Morgan Stanley Smith Barney, Morgan Stanley & Company, Inc., Smith Barney, a division of Citigroup Global Markets, Inc., Terrence Andrysiak, and Davis Vallie and Name of Counter-Claimant Smith Bamey, a division of Citigroup Global Markets, inc. vs. Name of Counter-Respondent Joel LaGore

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant Oppenheimer & Co., Inc. vs. Case Number: 09-05259 Hearing Site: Dallas, Texas Name of Respondent Mark Steven Gardner NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Co., Inc. ("Claimant" or "Oppenheimer") was represented by John T. McGuire, Esq., Oppenheimer & Co., Inc., New Yoric, New Yori< . On or abou

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-04558 Lisa Detanna Name of Respondent Hearing Site: Los Angeles, California Doreen Levine Nature of the Dispute: Associated Person vs. Customer REPRESENTATION OF PARTIES Claimant, Lisa Detanna. hereinafter refen-ed to as "Claimanf: Scott E. Rahn, Esq., Greenberg Traurig, LLP, Santa Monica, Califomia. Respondent, Doreen Levine, hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-05630 Roberta Wohl, as Trustee for the Exemption B-2 Wohl Family Trust and the Wohl Family Trust, each dated 1-13-97 Respondents Hearing Site: Los Angeles, Califomia Gregory Iglow Michael Rosenmayer Oppenheimer & Co., Inc. Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Roberta Wohl, a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-07062 Elise L. Moore F. David Moore Name of Respondents Hearing Site: Phoenix, Arizona Morgan Stanley Smith Bamey Marc H. Lock Nature of Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Elise L. Moore and F. David Moore, hereinafter collectively referred to as "Claimants": Elise L Moore, Nas

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06972 Judy K. Walters Names of the Respondents Hearing Site: Tampa, Florida Wachovia Securities, LLC n/k/a Wells Fargo Advisors, LLC Robert Bruce Moler, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Judy K. Walters, hereinafter referred to as "Claimant," appeared pro-se. For Wa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06006 Wells Fargo Advisors, LLC Name of the Respondent Hearing Site: Raleigh, North Carolina John E. Faircloth Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Fiore & Levine, PLLC, Ariington. Virginia and Patr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 11 -00666 Estate of Virginia Lasher, Gloria Roder, Albert Wood, Lydia Wood, Matthew Fieber, Ronald Gonzales, Anne Solis, Mari^ Simmons, and Gene Chantler Name of Respondent Hearing Site: Denver, Colorado Jeremy Michael Hart Nature of Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants, Estate of Virginia La