AWARD Award Data Award: $25,000.00 Punitive: $0.00 Pre-judgment Interest: $5,525.00 Attorneys' Fees: to be determined by a court of competent jurisdiction in the State of Florida Costs: $1,148.00 Other: $0.00 AWARD: The undersigned Arbitrator has decided and determined in full and final resolution of the issues submitted for determination as follows: 1) Respondent is liable for and shall pay to Claimant compensatory damages of $25,000.00. 2)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stewart and Frieda Fuhrmann JT TEN (Claimants) vs. TD Ameritrade, Inc. (Respondent) Case Number: 10-01015 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Stewart and Frieda Fuhrmann JT TEN hereinafter referred to as "Claimants": Stewart Fuhrmann, Barnegat, NJ. Respondent TD Ameritrade, Inc., hereinafter referre

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-02680 Elizabeth A. Stana Name of the Respondent Hearing Site: Atlanta, Georgia Invesco Aim Distributers, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Elizabeth A. Stana, hereinafter referred to as "Claimant": Jason R. Doss, Esq. and Joy L. Doss, Esq., The Doss Firm, LLC, Marietta,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05050 Jeffrey Penner Phyllis Penner Name of the Respondent Hearing Site: Boca Raton, Florida Herbert J. Sims & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jeffrey Penner and Phyllis Penner, hereinafter collectively referred to as "Claimants": Jason S. Haselkorn, Esq. and Matthew N. Thibaut

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-02082 Donald F. Hanks Names of the Respondents Hearing Site: Oriando, Florida Raymond James & Associates, Inc. Susan Saunders Betty Saunders Heritage Asset Management Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Donald F. Hanks, hereinafter referred to as "Claimant," a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-^2607 Wells Fargo Advisors, LLC Name of Respondents Hearina Site: Los Angeles, Califomia Dennis D. Hildebrandt Dennis D. Hildebrandt Trust U/A dtd 05/25/1999 Nature of Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": T

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 10-02475 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondent Hearing Site: Portland, Oregon Joel Bemard Davis Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 09-04471 Vallone Family 1985 Trust, Kenneth L. Vallone TTEE U/A DTD 12/13/1985 Respondents Hearina Site: San Diego, California Wells Fargo Advisors, LLC ilkia Wachovia Securities, LLC Victor Alexander Koby Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vallone Family 1985 Trust. Kenneth L.

Award FINRA Disputa Resoiutlon In the Matter of the Arbitration Between: Name of Claimants Dominic V. Annino, individually and as Trustee of the Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust; and Suzanne Mahoney. as Trustee of Dominic V. Annino Trust U/A DTD 12/18/1992 aka DVA Family Trust Name of Respondents Wells Fargo Investments, LLC Kennon R. Klein Case Number: 09-00339 Hearing Site: Los Angeles, Cal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 10-01631 Susan M. Manners Name of Respondents Hearing Site: Los Angeles, California Oppenheimer & Co., Inc. Stephen J. Wilshinsky Name of Cross-Claimant Oppenheimer & Co., Inc. Name of Cross-Respondent Stephen J. Wilshinsky Nature of Dispute: Customer vs. Member and Associated Person Member vs. Associated Person REPRESENTATIO