AWARD FINRA DISPUTE RESOLUTION CASE: 10-04316 Lehman Brothers Holdings Inc., as assignee of Lehman Brothers Inc. (Claimant) vs. John Carson (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Victor A. Machcinski, Jr., Esq., Krebsbach & Snyder, P.O., New Yorl< . NY. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Non-Member v. Associated Person. DATE FILED: September 24. 2010. CASE SUMMARY: Claimant asserted the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05236 Gilbert Anthony Kuta Names of the Respondents Hearing Site: Washington. D.C. RBC Capital Markets LLC Patrick James Vaughan Shannon Moran Sorensen Walter Michael Crowell Todd Wayne Schnell John Taft Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gilbert Ant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-01296 AXA Advisors, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Danny Robert Miller Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AXA Advisors, LLC, hereinafter referred to as "Claimant": Kenneth O'Connor, Esq. and Don R. Boswell, Esq., Lubiner & Schmidt, LLC, Cranford, New Jersey.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06316 Joseph J. Bevllacqua, as Trustee of the Joseph J. Bevilacqua Trust dated 7/07/1999 Name of the Respondents Hearing Site: Los Angeles, California Wells Fargo Investments, LLC Thoeurn Indy Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Joseph J. Bevilacqua, as Trustee o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01292 Citigroup Global Markets, Inc. (d/b/a Smith Barney) Name of the Respondent Hearing Site: Ft. Lauderdale, FL Borders Consulting Services, LLC Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. (d/b/a Smith Barney) ("CGMI"), hereinafter referred to as "Claimant": Catania T. Fac

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Paris and Mary Lu Paris, husband and wife vs. Case Number: 09-07076 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Marie A. Battaline Sr., Individually and as an Agent for AXA Equitable Life Insurance Co., and AXA Equitable Life insurance Company NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Members REPRESE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05078 Sharon L. Hewett Name of the Respondent Hearing Site: New Orleans, Louisiana Park Avenue Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sharon L. Hewett, hereinafter referred to as "Claimant": Michael J. Rudicell, Esq., Michael J. Rudicell PA, Pensacola, Florida. For Park Avenue Sec

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03240 Michael Sigerman and Delayne Sigerman (Claimants) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Michael Sigerman, Kerrville, TX. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: July 15, 2010 CASE SUMMARY: Claimants requested the following relief: cons

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Kivo (Claimant) vs. Oppenheimer & Co., Inc. and Michael Alan Lesser (Respondents) Case Number: 09-05276 Hearina Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Kivo, hereinafter referred to as "Claimant": Louis F. Burke, Esq., Law Office of Louis F. Burke, New York, NY. Respondents Opp

AWARD FINRA Dispute Resolution In the Matter of the ArtDitration Between: Name of Claimant Edward D. Jones & Co.. LP vs. Case Number: 09-02624 Hearing Site: Dallas. Texas Names of Respondents Summit Brokerage Sen/ices, Inc. and Preston A. Rosamond NATURE QF THE PI3PVTE Member vs. Member and Associated Person REPRESENTATION OF PARTIES Edward D. Jones & Co., LP ("Claimant" or "Edward Jones") was represented by Michael J. Whelian, Es