Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 09-06115 John W. Oughtred Name of Respondents Hearing Site: Denver, Colorado E*Trade Securities LLC E*Trade Clearing LLC Stuart Allan Torrey Robert Jarrett Lilien Nature of Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant, John W. Oughtred, hereinafter refenred to as "Claimanf: Jason M. Kueser,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03357 Saul Witenoff, Individually, and as Trustee of the Saul Witenoff Revocable Trust dated December 13, 1999 (Claimants) vs. Wells Fargo Advisors, LLC, Successor in Interest to Wachovia Securities, LLC and Shen/vyn Joel Labovitz, Jointly and Severally (Respondents) REPRESENTATION OF PARTIES: For Claimants appeared Stephen L. Witenoff, Esq., Thomas, DeGrood & Witenoff, P.C., Southfield, Ml. For Respondents appeare

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Claimant) vs. Vincent John Donohue (Respondent) Case Number: 10-01913 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Incorporated ("Merrill Lynch"), hereinafter referred to as "Claimant": Jeffrey M. Csercsevits, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Leslie Neal Buch (Respondent) Case Number: 09-01343 Hearino Site: New York, New Yoric Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC. hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC. New York, NY. Respondent Leslie Neal Buch. hereinafter referred to as "Res

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marvin Levin and Stefani Levin (Claimants) vs. Lehman Brothers, Inc., Barclays Capital, Inc., Ralph C. Wileczek, David Ian Kay, Jennifer M. Lee, and Scott Taylor Sheffer (Respondents) vs. Frank Leroy Couison, III, James Boothby, Jennifer M. Lee, and Barclays Capital, Inc. (Third Party Respondents) Case Number: 08-04394 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Joseph V. DePalma Case No. 99-05379 Names of Respondents Elliott Gayer Roland 1. Greenspan Robert D. Press Royal Palm Investments, Ltd. f/k/a PCM Securities Limited, L.P. and f/k/a PCM Securities, Ltd. Roy Elterman Robert Mitchell Joseph Silvagni Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Joseph V. DePa

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03198 Elbert C. Henson, by and through his Power of Attorney, Marcia Henson Ward (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Richard S. Frankowski, Esq., Burke, Harvey & Frankowski, LLC, Birmingham, AL. For Respondent appeared Joel M. Everest, Esq., Maynard, Cooper & Gale, P.C., Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: J

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03996 Randall J. Medow and American States Auto Plan, Inc. (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Keith L. Griffin, Esq., Griffin Law Firm, LLC, Indianapolis, IN. For Respondent appeared Harper Robinson, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customers v. Member DATE FILED: September 3, 2010 CASE SUMMARY: Cla

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03033 Robert Joseph Binl< ele (Claimant) vs. Walker Randolph Johnson (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Indian Wells, CA. Respondent appeared pro se, Sherman Oaks, CA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: June 30. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay fees as required by registered representative agreem

Stipulated Award FINRA Disputs Resolution In the Matter of the Arbitration Between: Bernard Ochs (Claimant) vs. Laidlaw & Co. (UK) Ltd., Jason Anthony Russo, Todd Cirella, Ronald Furst, and Alex Schtaynberger (Respondents) Case Number: 09-06628 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Bernard Ochs. hereinafter referred to as "Claimanf: John E. Lawior, Esq..