Award FINRA DIaputo Reeolutlon In ttie Matter of the Ariaitration Between: Claimant Case Number 09-01142 Denlse M. Sullivan Respondente Hearing Stte: San Francisco, Califomia Edward Jones Matttiew A. DiGiacomo Nature of the Dispute: Customer vs. Member and Assocteted Person REPRESENTATION OF PARTIES Claimant, Denise M. Sullivan, hereinafter referred to as XIaimanf: Port Paricer, Esq., Freidberg & Paricer, LLP, Sacramento. California.

Award FINRA Dtoputo Resolution In ttie Matter of the AibitrBtion Between: Cteiniante/Counter-ResDondente Case Number 0M0226 IMarion Thomas Risner, indhriduany and as Tnistee of the f^isner Family Trust U/A DTD 01/21/82 Betty litargaret Rtoner, indivtoualiy, as benefictery of the Betty Margaret D Risner- Roltover IRA, and as Tnistae of ttie Risner Family Tmst U/A DTD 01/21/82 Reaoondente/CQuntar-Ctelmante Hearing SHa: Los Angetes, CalHbmta Morgan

Award FINRA Disputg Resolution In the Matter of the ArbKratfon Between: Name of the Claimant Case Number 0»03959 Philip Sielatyckl Name of the Respondent Hearing Site: Raleigh, North Carolina Bank of America Investanent Services, Inc. Nature of the Dtspute: Associated Person vs. Member. REPRESENTATiON OF PARTIES For Philip Sielatyckl, hereinafter referred to as 't^laimanf: Laura J. Wetsch, Esq., Wln8k)wWetsch, PLLC, Raleigh, North Carolina.

AWARD FINRA Dtepute Reeolutlon In the Matter of the Ariattratton Between: Names of Ctolmante Bradley A. Burt» and Mtohelto Buries vs. Caae Number 00-2757 Hearing Site: Deltas, Texas Names of Rasoondente i-TRADEdirBct.com Corp., Mike Backer, Louis Anttiony DonzalH, Ira Scott Karaba, Sean Mtohael Case, Eric Davto Artt, Steme Agree Capttal Markete, Inc., Sterna, Agae & Leach, Ina, i-TRADEriow.oom Corp., and Brian E. Sanders MATUR

Award FINRA Dtepute Resolution In the Matter of the Art>itrBtion Between: Names of the Claimante Case Number. 08-04090 The Barbara J. Wtttkopf IFtA The Wittkopf Family Settlors Trust The Wlttkojsf Family Bypass Trust The Eugene Wittkopf Deceased IRA Names of the Rasoondente Hearing Site: New Orieana, Louisiana Mary G. Carieton Feltus B. McKowen Broad Street Securities, Inc. Nature of the Dispute: Customer vs. Member and Assodatad Pers

Award FINRA Diaputo Reaolutlon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02697 Gerald J. Kazma Revocable Trust Amzak Capital Management, LLC Names off the Resoondents Hearirw Site: Boca Raton. Florida Citigroup Global Maricets, Ina f/k/a Citicorp Investment Services Citigroup Alternative Investments. LLC Nature of the Dispute; Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Gera

AVtfARD FINRA DISPUTE RESOLUTION CASE: 10-00782 El Asset Management, inc. (Claimant) vs. Ched J. Gelb (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, inc., Hazlet. NJ. Respondent appeared pro se, Larchmont, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 18. 2010 CASE SUMMARY: Claimant asserted the following cause of action: breach of promissory note. i

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00561 Kevin G. Duling. an individual (Claimant) vs. Wells Fargo Investments LLC (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Lincoln, NE. For Respondent appeared Vanessa M. Hoffman. Esq., Wells Fargo investments, LLC, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: February 1. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to execute

AWARD FiNRA DISPUTE RESOLUTION CASE: 10-00156 Conrad W. Guerrette (Claimant) vs. Morgan Stanley Smith Barney (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Nashua, NH. For Respondent appeared John Castelly, Esq., Morgan Stanley Smith Bamey, Purchase. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 11. 2010 CASE SUMMARY: Claimant asserted the following cause of action: failure to timely follow instructions to trans

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06730 Peter Levine (Claimant) vs. TIAA-CREF Individual and Institutional Sen/ices, LLC and Wachovia Securities Inc. (Respondents) REPRESENTATION OF PARTIES: For Claimant appeared R. Paul Vance, Esq., Cllne, Cline & Griffin, Flint, Ml. For Respondent TIAA-CREF Individual and institutional Sen/ices, LLC appeared Carranza M. Pryor, Esq., TIAA-CREF Individual and Institutional Services, LLC, Chariotte, NC. For Resp