stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05108 Wells Fargo Advisors, LLC, f/k/a Wachovia Securities, LLC, Name of the Respondent Hearing Site: Miami, Florida Ivan Pulido Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wells Fargo Advisors, LLC, f/k/a Wachovia Securities LLC, hereinafter refenred to as "Claimant": Nisha Wright

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 09-05605 John E. Cassandra Name of the Respondent Hearing Site: Boca Raton, Florida Christopher R. Hickman Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For John E. Cassandra, hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq., Zadanosky & Associates, P.A., Lake Worth, Fl

Award FINRA Dispute Resolution in the Matter of the Ari^itration Between: Name of the Claimant Case Number 09-05975 Ron Bekjns Name of the Respondent Hearing Site: Boca Raton, Florida Ameriprise Financial Services, inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Ron Bekins, hereinafter referred to as "Claimant," appeared pro-se. For Ameriprise Financial Services, Inc., hereinafter referred to as "Respondent

Award FINRA Dispute Resolution in the Matter of the Art)lta«tion Bebveen: Nanie of the Claimant Case Numt)er 09-01736 Wachovia Securities, LLC Name of the Respondent Hearino Site: Cleanwater. Florida David T. Barman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Stephen Bums, Esq., Flore & Levine, PLLC, Arlington, Virginia. For David T. Ba

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Christina Keller (Claimant) vs. WM Financial Services, inc. f/lc/a Dime Securittes, inc. and Patricia IHoenings (Respondente) Case Number: 07-02482 Hearing Site: New Yorlc. New Yori< Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Christine Keller, hereinafter refened to as "Claimanf: Scott Hirsch. Esq., Scariett & Gucciardo,

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00585 John Amoghiian (Claimant) vs. Christina Simpson and Citicorp Investment Services (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Thousand Oaks, CA. For Respondente appeared Artur M. Wlazio, Esq., Greenberg Traurig, LLP, New Yori(, NY. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: February 3. 2010 CASE SUMMARY: Claimant asserted the foilowing cause of action: ne

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-01207 Jacob Zynger (Claimant) vs.TD Ameritrade, inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Tampa, FL. For Respondent appeared James J. Vihstadt. Esq., TD Ameritrade, inc., Omaha, NE. NATURE OF DISPUTE: Customer v. IVIember DATE FILED: March 10, 2010 CASE SUMMARY: Claimant requested the following relief: consequential damages caused by iliiquidity of investment. The cause of actio

i» Award FINRA Dtopute Rssolution In the Mstter of ttie Art>itration Between: Claimants Case Number 09-04331 Helen M. Oattiout Joan L. Burdick Peggy A. Armstrong Resoondente Hearing Site: Anchorage. Alasica Charies Schwab & Co., Inc. Schwab Investmente, Inc. Charies Schwab Corporation Charies Schwab Financial Services Group Charies Schwab Investment Management, Inc. Nature of the Dispute: Customers vs. Members and Non-Meml)ers

Award FINRA Diapute Resolution In the Matter of the Aribitration Between: Claimant Case Number: 00-06771 The Brandewie Family Trust Respondent Hearing Site: Los Angeles, Califomia TD Ameritrade, Inc. Nature of Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, The Brandewte Family Trust, hereinafter referred to as "Claimant": Richard A. Brandewte, Monte Nido, Califomte. Respondent, TD Ameritrade. Inc., hereinafter referred t

Award FINRA Dtepute Resolution In the Matter of ttie Art)itration Between: Cteimant Case Number 10-01447 Morgan Stantey Smitti Barney, LlC fA(/a Morgan Stentey & Co. Incorporated Respondent Hearing Site: ]M8 Angetes, CaHfomia James R. Day Nature of the Dispute: Member vs. Assodated Person REPRESENTATION QF PARTIES Cteimant Morgan Stanley Smitti Barney. U.C Mete Morgan Stanley & Co. incorpoFaled hereinafter refenred to as 'Cteimanf: Tlmott