AWARD FINRA DISPUTE RESOLUTION CASE: 10-04771 Morgan Stanley Smith Bamey, LLC (Claimant) vs. Denise Roochio (Respondent) REPRESENTATION OF PARTIES: For Claimant: Ira N. Glauber, Esq., Jaffe & Asher LLP, New York, NY, Respondent did not enter an appearance. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2010. CASE SUMMARY: Claimant asserted the following cause of action: Breach of promissory note. RELIEF REQUESTED: In t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David H. Mcintosh and Terri S. Mcintosh (Claimants) vs. RBC Capital Markets Corporation (Respondent) Case Number: 09-07170 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants David H. Mcintosh ("D. Mcintosh") and Terri S. Mcintosh ("T. Mcintosh"), hereinafter collectively referred to as "Claimants": Debra G. S

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Fidelity Brokerage Sen/ices, LLC (Claimant) vs. Philip Beninati (Respondent) Case Number: 10-02885 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant, Fidelity Brokerage Services, LLC, hereinafter referred to as "Claimant": Laurence K. Richmond, Esq., Richmonds and Co., LLC, Wellesley Hills, MA. Respondent, Philip B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. (Claimant) v. Diana Swan (Respondent) Case Number: 09-04338 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Daniel H. Wirth, Esq., Brock, Clay, Calhoun & Rogers, LLC, Marietta, GA. Respondent Diana Swan, hereinafte

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02316 Robert M. Paff Jay Wilen Names of the Respondents Hearing Site: Baltimore, Maryland AXA Advisors, LLC AXA Network, LLC Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Robert M. Paff and Jay Wilen, hereinafter collectively referred to as "Claimants": David W.

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of Claimants Case Number: 09-04880 Craig & Kathleen Juntunen Living Trust Name of Respondents Hearing Site: Phoenix, Arizona Merrill Lynch, Pierce, Fenner & Smith Incorporated Jeffry Dean Korte Richard Mark Wilson Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Craig & Kathleen Juntunen Living Trust, herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01957 "Bruce" Faramarz Moghaddam-Jafary Respondents Hearing Site: Los Angeles, California Ameriprise Financial Services, Inc. Ameriprise Financial, Inc. a/k/a American Express Financial Corporation Nature of Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant, "Bruce" Faramarz Moghaddam-Jafary, hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number. 07-02708 Dennis Flier, Inc. Defined Benefit Tmst Flier Family Trust DTD 1 /21 /98 Carol Flier Nicole Dana Flier First Savings Bank C/F Dennis Flier IRA R&N Real Estate Investments LP Robert L Verchota General Partners The Duffy 1986 Trust DTD 6/18/86 John and Diane Maguire Living Trust 8/4/00 Mirtha M. Bancs Family Trust U/A 3/26/98

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05736 Wells Fargo Advisors, LLC Name of the Respondent Hearing Site: Chariotte, North Carolina Clifford J. Watts. Ill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, hereinafter referred to as "Claimant": Deborah G. Evans, Esq. and Brady J. Hermann, Esq., Michaels, Wanj & R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00145 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Homer Vining Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Edward Walton, Counsel for Ameriprise Advisor Services, Inc., Detroit, M