AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael A. Klatte, Klatte Golf Limited Partnership, Michael A. Klatte Charitable Remainder Unitrust, and Klatte Golf Management, Inc. vs. Case Number: 09-02420 Hearing Site: Minneapolis, Minnesota Names of Respondents RBC Capital Markets Corporation, ING Financial Partners, Inc., Nations Financial Group, Inc., Meyers Associates, LP, Victor John

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert K. Brill, Jr. and Agnes K. Brill (Claimants) vs. People's Securities Inc. (Respondent). Case Number: 09-06605 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Robert K. Brill and Agnes K. Brill, hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., Law Offices of Howard M. Rosen

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Diane Reynolds (Claimant) vs. David Dube and Peak Securities Corporation (Respondents) Case Number: 09-05064 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Diane Reynolds hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ. Respondents D

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Financial Northeastern Securities, Inc. (Claimant) vs. Eric Ratner, Michael J. Kapp, Jr., Greg Taylor, Michele Giampiertro, Andrew Liebe, Evan Quinones, Phillip Auerbach, Jesup & Lamont Inc., and Jesup & Lamont Securities Corp. (Respondents) Case Number: 08-04389 Hearing Site: Newark, New Jersey consolidated with Eric Ratner (Claimant) vs. Financial Northeastern Securities Inc.. Jef

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Claimant Case Number: 09-01102 Linden Pasadena Properties, LLC Respondents Citigroup Global Markets, Inc. Susan Griswold Mamer Hearina Site: Los Angeles, Califomia Nature of Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Linden Pasadena Properties, LLC, hereinafter referred to as "Ciaimanf: Jared R.B. Hutton, Esq., Jared R.B. H

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01072 John Z. Zarich Name of the Respondent Hearing Site: San Francisco, California Merriman Curhan Ford & Co. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant John Z. Zarich, hereinafter referred to as "Claimant": James Collins, Esq., O'Reilly Collins, San Mateo. California. Respondent Merriman Curhan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-07256 Phillip R. Semenicl< Name of the Respondent Hearing Site: Boca Raton, Florida Chicago Investment Group, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Phillip R. Semenicic, hereinafter referred to as "Claimant": Joseph E. Gasperetti, Esq., Joseph E. Gasperetti, P.C, New York, New York.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants John P. Walsh, Jr. Marc Bonifacio John Hurd Names of the Respondents Pritchard Capital Holding, LLC Thomas W. Pritchard Todd Giustiniano Case Number: 09-06410 Hearing Site: New Orteans, Louisiana Nature of the Dispute: Associated Person vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For John P. Walsh. Jr. ("Walsh"), Mar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04824 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC Name of the Respondent Hearing Site: Charlotte, North Carolina Shawn Colin Newman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonatha

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04380 Ameriprise Advisor Services, Inc. Name of the Respondent Hearing Site: Oriando, Florida Paul A. Fischetti Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Advisor Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois.