Award FINRA Dtopute Reaohrtion to ttie Matter of ttie Ari)itration Between: Ctahnante: Case Number 0^04008 waito Thayer, II Jantee E. TTiayer Respondento: Hearing SHa: Denver, Cotorado TD Ameritrade, Inc. The Bumey Company Bumey Partners, LLC LoweH D.Pratt Shefftoto C. Richey Keegan H. Davis Nature of the Dispute: Customers vs. Member, Assoctoted Person and Non-Members REPRESENTATION OF PARTIES Clalmanto, WHIto Thayer, II

Award FINRA Dteputo Reaolution In tiie Matter of the Arisitration Between: Names of the Claimante Case Number: 09-01300 James and Nancy Culp, individually and as Taistees of tiie James and Nancy Culp Family Tnjst dated 9/17/98 Name of the Respondent Hearing Site: Ortando, Florida Janney Montgomery Scott LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James and Nancy Culp, individually and as Trustees of the J

AWARD FINRA DIaputo Resolution in the Matter of the Arbitration Between: Nanrw of Claimant James Russell Riley vs. Case Number 09-04748 iHearing Site: Louisvilte, Kentucky Name of Respondent U.S. Bancorp Investmente, inc. MATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James Russell Riley ("Cialmanr) was represented by James P. McCroclclin, Esq., Louisville. Kentuclcy. U.S. Bancorp Investmente, inc. fR

AWARD FINRA Dispute RMolutlon In the Matter of the Arbitration Between: Name of Claimant David L. Roberts vs. Case Number 09-03951 •Hearing Site: Louisville, Kentucky Name of Respondent Raymond James Financial Sennces, Inc. MATURg OF THE DISPUTE Customer vs. Memt)er RgPRESgMTATIQM OF PARTIES David L. Roberts ("Cialmanr) was represented by John Sale Gordon. Esq., Gordon l.aw Offices, Owensboro, Kentuclcy. Raymond James Financial Se

Award FINRA Dtepute Reeolutlon In the Matter of the Ari^ttration Bebfveen: Claimant Case Number 09^748 James Dean Boyer Respondente Hearino Site: Reno. Nevada Wachovte Securities, LI.C Eric Stone Smtth Natore of the Dtopute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James Dean Boyer, hereinafter refened to as "Ctelmant": Raw R. Goodenow, Esq., Pareons Behte & Latimer, Reno, Nevada. Respondente, Wach

Award FINRA Dtepute Reeolutlon In the Matter of the Ari3ttratton Between: Claimante Case Number 09-00120 Carol Page, personally and on behatt of the Carol A. Page Roth IRA Travis D. Bryant Arian L Pfbhl and Bari3ara L Pfohl, IndMdually and as Trustees of the Arian L. & Bart>ara L. Pfohl Family Trust Donate F. Shepard Jr. Arthur Taub Esther Stevens Jeffjray T. Stevens and Nancy Stevens Warren A. Helgefson, personally and as Trustee of the

AMianl RNRA Dtepute Raeohillon In ttie Matter of ttie Arbttration Between: Ctelmant Case Number 0M6520 Wels Fargo Invesbnents, LLC RsBPondant Hearing SHa: Los Angstes, Calfomta DonakI A. Duarta, Jr. Natore of the Dispute: Member vs. Associated Person REPREaEMTATION OF PAHTlEa Ctelrnant, Wels Fargo Invesbnente, LLC, hecebianerrefefred to aa'Ctelrnanir: PaulT. CahlH, Esq., Kane & Ftocher, Lto., Chtoago, lllnoto. Respondent. DonsM A. Duarte,

Award FINRA Dtopirte Rasohitlon In the Matter of the Arbttration Between: Claimante Case Number 08-03629 NkMe Lee Silk as trustee of The Ntekte Lee Silk Dedaratton of Revocabte Tnjst dtd 8/16/93 Evan Gardner as trustee of The NIckie Lee Silk 2004 Trust dtd 12-13-2004 Candl Blelfer and Scott BlettiBr as trustees of TTie Bleifer Family Trust dtd 3/25/1999 Bruce L. Pompan and Byrdte Lifeon Pompan as trustaes of The Pompan Family Trust U/A/D 4/4/98 R

AWARD FINRA DIsputtt ResoliJtIon In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley Smitti Barney, LLC vs. Case Number: 10-01090 Hearing Site: Indianapolis, Indiana Name of Respondent Robert Douglas Hassell MATURE OF THgPlSPUTg Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley Smith Bamey, LLC ("Claimant") was represented fc>y Samuel P. Mauch, Esq., Saretsky Hart Michael & Gould. PC, Birmingh

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Yvonne Hanis Bass (Claimant) vs. Ameriprise Financial Services, Inc. f/k/a American Express Financial Advisors (Respondent) Case Number: 09-07050 Hearing Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Yvonne Harris Bass hereinafter referred to as "Ciaimanf appeared pro se. Respondent Ameriprise Financial Service