Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Claimant Case Number: 09-04439 Alice J. Potter Respondents Hearing Site: Denver, Colorado Clyde A. Bennlnghoff American General Securities Inc. Sagepoint Financial, Inc. Nature of Dispute: Customer vs. Members and Associated Person REPRESEIiTATiON OF PARTIES Claimant, Alice J. Potter, hereinafter referred to as "Claimant": David Liebrader. Esq., The Law Offices o

Avrard FINRA Dispute Resolution In the Matter of the Ariaitration Between: Claimant Case Number 09-03424 Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondents Hearing Site: Helena. Montana Morgan Stanley & Co., Incorporated William A. Claridge Martin A. Colennan, III Patrick G. Lewis Adrian J. Matosich G. Todd Williamson Nature of the Dispute: Member vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheClainriant Case Number: 10-01057 RBC Capital Markets Corporation Name of the Respondent Hearing Site: Seattle, Washington Sally Jean Gray Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, RBC Capital Markets Corporation hereinafter referred to as "RBC or "Claimant": David L. Young, Esq., Lane Powel PC, Seattle, Washington.

AWARD FINRA DISPUTE RESOLUTION CASE: 10-01222 Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC ("Claimant") vs. Hansel C. Toppin ("Respondent") REPRESENTATION OF PARTIES: For Claimant: Stephen D. Burns, Esq.. Fiore & Levin. PLLC, Arlington, Virginia. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: March 12, 2010. CASE SUMMARY: Claimant asserted the causes of action of breach of promissory

Award FiNRA Dispute Resoiution In the Matter of. the Arbitration Between: Names of the Claimants Case Number: 09-04459 Mathew J. Craig Lisa M. Craig Lisa M. Craig IRA Name of the Respondent Hearing Site: Raleigh, North Carolina Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATiON OF PARTIES For Mathew J. Craig, Lisa M. Craig and Lisa M. Craig IRA, hereinafter collectively referred to as "Claimants"

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-04633 Gregg Rosenberg Name of the Respondent Hearing Site: Washington. D.C. Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Gregg Rosenberg, hereinafter referred to as "Claimant": Howard B. Prossnitz, Esq. and Katherine S. Beard, Esq.. Law Offices of Howard Prossnitz, Chicago. Il

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05415 Lenore J. Gaynor Trustee FBO Lenore J. Gaynor Decl. of Trust DAD 6/18/01 Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Smith Barney LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lenore J. Gaynor Trustee FBO Lenore J. Gaynor Decl. of Trust UAD 6/18/01, hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-01037 Darryll Ceccoli Names of the Respondents Hearing Site: Atlanta/Georgia Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Dvora L. Callahan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Darryll Ceccoli, hereinafter referred to as "Claimant": Gerald B. Kline, Esq., Sims M

AuMiH in the Matter of the Arbitration Between: OOamA CwNumtwr OMaosa Thermo Dynamics Inc. Charies ScNnb & Co. Jnc Nature of the Diipule: CX^^ IMIIIPPMIMII.IOII^ iil^BBiliiiliim. Clairnant Themrio Dynamics Inc.. hereinafter refBrred to as "Claimant: Roberto. Mitchell. Esq.. Jylto M. Beauregard. Esq. and Sarah K. Deutsche. Esq.. Mitchell & Associates. P.C. Phoenbc, Arizona. Respondent Charles Schwab & Co.. Inc., hereinafter refened to as 'Schw

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 09-04569 Lillian E. Ulissey and The Lillian E. Ulissey Trust Dated June 22, 2007 by Lillian E. Ulissey and Elinor U. Bartlett, Trustees Names of the Respondents/Third Party Claimants Hearing Site: Washington. D.C. Edeiman Financial Services, LLC Valentino R. Taddei, Jr. Name of the Third Party Respondent Elinor U. Bartlett, POA and