Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-03002 Chase Investment Services Corp. Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Keegan & Company, Inc. Todd Rozzo Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Chase Investment Services Corp., hereinafter referred to as "Claimant": Thomas J. Cahill, Esq., Satt

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-04231 Penson Financial Services, Inc. Names of the Respondents Hearing Site: Wilmington, DE James R. McGonigle Kathleen C. McGonigle Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Penson Financial Services, Inc., hereinafter referred to as "Claimant": Jeff Logan, Vice President, Deputy General

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Donald Knicley, John W. Kearns, Frederick G. Krause, Thomas W. Leo, and Cari G. Mielnicki (Claimants) vs. Wachovia Securities, LLC f/k/a A.G. Edwards & Sons, inc. (Respondent) Case Number: 09-01992 Hearing Site: Rochester, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Donald Knicley ("Knicley"), John W. Kearns ("Kearns"), Frederick G.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-00403 Matthew Lam Respondents Hearing Site: San Francisco, California Charles Schwab & Co., Inc. Jesse Ramos Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Matthew Lam, hereinafter referred to as "Claimant": Howard M. Hoffman, Esq., Law Offices of Howard M. Hoffman, Sacramento, California. Respondents, Charl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Damon C. Reel vs. Case Number: 09-04732 Hearing Site: Rapid City, South Dakota Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Damon C. Reel ("Claimant") was represented by Richard B. Fosher, Esq., Oalces & Fosher, LLC, Bethalto, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07099 Daniel M. Bishop Name of the Respondents Hearing Site: Portland, Oregon Vicki Lee Moffatt AFS Brokerage, Inc. Evolve Securities, Inc. Hartford Securities Distribution Company, Inc. Hartford Equity Sales Company Inc. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00335 Araceli Camien Fonseca Name of the Respondents Hearing Site: Los Angeles, California Ameriprise Financial Services, Inc. Brett Jerome Saddler Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Araceli Carmen Fonseca, hereinafter referred to as "Claimant": Marie C. Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dolores A. Smith Insurance & Associates, LLC vs. Case Number: 09-00830 Hearing Site: Minneapolis, Minnesota Name of Respondent/Third-Partv Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Name of Third-Party Respondent Kenneth J. Marchiol NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dolores A. Smith Insuranc

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Behveen: Name of Claimant Oppenheimer & Company, Inc. vs. Case Number: 09-01670 Hearing Site: Minneapolis, Minnesota Name of Respondent Lance K. Morque NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Company, Inc. ("Oppenheimer" or "Claimant") was represented by Ellen Sheridan-Cona, Esq., Oppenheimer & Company, Inc. unfil Februar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Emma Zilber, Leon Zilber, and Jason Kim (Claimants) vs. Penson Financial Services, Inc., Samco Capital Markets, Inc., and Investcape Inc. (Respondents) vs. David Yair and Investcape, Inc. (Third Party Respondents) Case Number: 09-03618 Hearing Site: New York, New York Nature of the Disputes Initial Claim: Customers vs. Members. Third Party Claim: Member vs. Customer and Member.