Award F\HRA Dispute Resoiution in the Matter of the Arbitration Between: Name of Claimant Case Number: 09-05896 Peter E. Williams, III Name of Respondents Hearing Site: San Francisco, California Goldman, Sachs and Company Bruce Tenenbaum Gregory E. Downing Magdalene Schmitz Nature of Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Peter E. Williams. Ill, hereinafter referred to as "Claimant": Cy

Award FINI^ Dispute Resolution In the Matter of the Aribitration Between: Name of Claimant Case Number: 08-04132 Eari L. Schriver, Jr. Name of Respondent Hearina Site: Seattle, Washington TD Ameritrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Eari L. Schriver. hereinafter referred to as "Claimant": Eari L. Schriver, Jr., pro se, University Place, Washington. Respondent, TD Ameritrade, Inc., hereinaf

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02582 Wells Fargo Advisors, LLC, formeriy known as Wachovia Securities, LLC (Claimant) vs. Allison D. Tarpley (Respondent) vs. UBS Financial Services Inc. (Third-Party Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Todd Ratner, Esq., Park Ratner PLC, Richmond, VA. For Respondent appeared Daniel J. Sheehan, Jr., Esq., Daniel Sheehan & Associates, LLP, Dallas, TX. For Third-Party Respondent appeared Mol

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02507 Ronald J. Avenia (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Danville, PA. For Respondent appeared Meredith A. Faro, FMR LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: May 24, 2010 CASE SUMMARY.' Claimant alleged damages resulfing from misleading informafion presented in Respondent's educafional video on stop loss or

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley Smith Barney LLC, as the successor in interest to Morgan Stanley & Co., Inc. (Claimant) vs. Mara Capital Management, LLC, Ronald Feldstein, Clifford Feldstein, and Kenneth Sitomer (Respondents) Case Number: 09-04130 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant Morgan Stanley Smith Barney LLC, as t

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Kane Bischoff (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 09-04107 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey Kane Bischoff, hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Rich & Intelisano, LLP, New York, NY. Respondent UBS Financial Service

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03011 Wells Fargo Advisors, LLC (Claimant) vs. Nadim Mourad (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Jim Van Dyke, Wells Fargo Advisors, LLC, St. Louis, MO. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreement. Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-07088 Eugene "Gene" Pascarella Mary Pascarella Name of the Respondent Hearing Site: Oriando, Florida SunTrust Investment Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eugene "Gene" Pascarella and Mary Pascarella, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq.,

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01651 RBC Capital Markets Corporation ("Claimant") vs. William Whitehurst ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Patrick Howley, Senior Associate General Counsel, RBC Wealth Management, Florham Park, NJ. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATEFILED: April 7, 2010. CASE SUMMARY: Claimant asserted the cause of action of failure to repay sums

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-06164 The Trust FBO Dorothy S. Hellyer U/A/D 07/30/93, Dorothy S. Hellyer, Trustee Names of the Respondents Hearing Site: Washington, D.C. Citigroup Global Markets, Inc. Morgan Stanley Smith Barney LLC Nature of the Dispute: Customer vs. Member. Public Arbitrator Pilot Program/All Public Panel REPRESENTATION OF PARTIES For The