Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-03906 William J. Freeman, Individually, on behalf of his IRA, and as General Partner of the Freeman Family Partners, L.P. Patsy Freeman. Individually and on behalf of the Patsy Freeman Investment Management Account Devlen J. Freeman Keri Austa Freeman Williams James Freeman Richard Freeman as Trustee of the Devlen Joseph

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01796 Bertram E. Barnett, Jr., Robert L. Cockroft, Kathy C. Cockroft. Allen R. Graber, Bittjal Partners and Robert R. Yarbrough Name of the Respondent Hearing Site: Memphis, Tennessee Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bertram E. Barnett Jr

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00249 Wachovia Securities. LLC Name of the Respondent Hearina Site: Tampa. Florida Telum Jakey Winters Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": David Ward, Esq., Michaels, Ward & Rabinovitz LLP. Boston. Massachusetts. For Tel

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02927 Michael Gora (Claimant) vs. Wells Fargo Investments, LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hoboken, NJ. For Respondent appeared Thomas F. Kopshever, Esq., Wells Fargo Investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 21, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by illiquidity of in

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02615 Citigroup Global Markets, Inc. (Claimant) vs. Daniel Miller (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Joseph D. MacLellan, Esq., Alonso, Andalkar & Kahn, P.O., New York, NY. Respondent appeared pro se, Minneapolis, MN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 3, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory notes.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02373 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Jonathan DeJulio (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Gregory S. Tendnch, Esq., Gregory Tendrich, P.A., Boca Raton, FL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 16, 2010 CASE SUMMARY: Claimant asserted the following cause of actio

AWARD Award: $15,467.61 Pre and Post-judgment Interest: $0.00 Attorneys' Fees: $0.00 Costs: $0.00 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 $15,467.61. 2) Claimant's request for interest is denied. 3) Claimant's request for attorneys' fees is denied. 4) All other r

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02038 Maxim Group LLC (Claimant) vs. Ryan Aldridge (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Christopher G. Massey, Esq., Maxim Group LLC, New York, NY. Respondent appeared pro se. New York, NY. NATURDATE FILEDE OF : DISPUTEMay 3, 201 : Membe0 r v. Associated Person CASE SUMMARY: Claimant asserted the following causes of action: breach of contract, specific perfor

AWARD FINRA DISPUTE RESOLUTION CASE: 10.-02013 Wells Fargo Advisors, LLC (Claimant) vs. Mark Lee (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, Wells Fargo Advisors, LLC, St. Louis, MO. For Respondent appeared Oscar Schachter, Esq., Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 28, 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of Retention Award Agreemen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James E. Harrington (Claimant) vs. Securities America, Inc. (Respondent) Case Number: 10-01909 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant James E. Harrington ("Claimant") appeared pro se. Respondent Securities America, Inc. ("Respondent"): Kelly R. Davis, Esq., Securities America, Inc., Lavista, NE. CASE IN