Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 09-01436 James Jones Lillie Jones Name of the Respondents Hearing Site: Los Angeles, California Nexcore Capital, inc. Michael J. Mclntyre Jay S. Potter, Jr. Dennis E. Beeby Reid D. Scofield Peter M. Stem Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, James Jones

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois M. Santarsiero (Claimant) vs. TD Ameritrade, Joshua H. Kenney, Ryan Lewis and Michael lannucci (Respondents) Case Number: 09-07212 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Lois M. Santarsiero, hereinafter referred to as "Claimant", appeared pro se. Respondents TD Ameritrade ("Ameri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 10-00620 Morgan Keegan & Company, Inc. Name of the Respondent Hearing Site: Atlanta. Georgia Robert Scott Wilder Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Eric Jon Taylor, Esq., Parker Hudson Rainer & Dobbs, LLP, Atla

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02042 Wells Fargo Advisors, LLC (Claimant) vs. Jonathan Dameron (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared James Van Dyke, III, 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: April 30, 2010 CASE SUMMARY.- Claimant asserted the following cause of action: breach of retention award agreem

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02640 Peter H. Stockmann (Claimant) vs. E*Trade Securities LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Jamesville, NY. For Respondent appeared Meredith A. Felde, Esq., E*Trade Securities LLC, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: June 2, 2010 CASE SUMMARY: Claimant alleged that Respondent breached an agreement when they assessed fees for account inactivit

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathryn Roda, Marion Luongo, Angelo Luongo, and John Giambrone (Claimants) vs. Clayton, Dunning & Company, Inc., Carlton Capital Inc., Albert G. Wardi, Anthony Mediate, 111, Brookstone Securities, inc., and J.P. Turner & Company, L.L.C. (Respondents) Case Number: 09-03452 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Derby d/b/a Troika Capital Consultants (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Richard Grodin (Respondents) Case Number: 09-04494 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Peter Derby d/b/a Troika Capital Consultants, hereinafter referred to as "Claimant": Thoma

AWARD FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Name of Claimant John H. Allen vs. Case Number: 09-03845 Hearing Site: Louisville, Kentucky Names of Respondents Westrock Advisors, Inc., Jonothon M. Liebennan, and Gregory M. Martino NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES John H. Allen ("Claimant") was represented by Steven M. McCauley, Esq. and Charles C.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03047 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Claimant) vs. Trey Calvin Trammell (Respondent) REPRESENTATION OF PARTIES: For Claimant: Mary Jo Cantu, Esq., Ballard & Littlefield, LLP, Houston, Texas Respondent did not appear. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 30. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note ("No

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 10-02112 Hearing Site: Chicago, Illinois Name of Respondent William Lome Wilkins NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan I. Sugamnan, Esq., Law Office of Renan I. Sugannan, P.C, Chicago, Illin