AWARD FINRA DISPUTE RESOLUTION CASE: 10-00181 Ronald M. and Gwen L. IHintze, TTEES FBO Hintze Family Revocable Living Trust (Claimant) vs. TD Ameritrade, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Ronald M. IHintze, pro se, Newport News, VA. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED; January 14. 2010 CASE SUMMARY: Claimant asserted the follow

stiputated Award FINRA Dtaputo Reaolutlon In the Matter of the Arisitration Between: Names of the Ciaimante Case Number. 09-03986 Meryl Dell end Steven Dell Names of the Resoondente Hearing Site: Fort L^uderdata, Ftorida Charies Schwab & Co.. Inc. Jenny M. Rothsteln Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Meryl Dell and Steven Dell, hereinafter coltactively referred to aa '^Ctaimanto":

Award FINRA Diaputo Reaolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-04438 Hossein Nilipour Names of the Resoondente Hearing Site: Birmingham, AL TD Ameritrade, Inc. Jim Douglass Nature of the Dispute: Customer vs. Member and Associated Person RgPRgSEMTATIOM OF PABTIgS For Hossein Nilipour, hereinafter referred to as "Ctalmant": Stephen D. Heninger, Esq., Heninger Ganison Davis, LLC, Birmingham, AL.

Stipulated Award FINRA Diaputo Reaolutlon In ttie Matter of the Arbttration Between: Name of the Ctalmant Case Number: 09-03941 J.P. Tumer & Company, L.L.C. Name of the Respondent Hearing Stte: Tampa, Florida Marie Francn Graham Nature of the Dtapute: Member vs. Associated Person. REPRESENTATION OF PARTIES For J.P. Turner & Company, L.L.C, hereinafter referred to as "Claimant": Scott Hoicomb, Esq. and Eric J. Dec, Esq., J.P. Tumer & Company,

Award FINRA Dtaputo Reaolutlon In the Matter of the Arisitratton Between: Nqme of the Claimant Case Number: 09-00530 Raymond James Financtal Services, inc. Names of ttie Respondente Hearing Site: Oriando, FL Donald J. Reilly Helen A. Reilly in the Matter of the Arbitratton Between: Names of the Ciaimante Case Number 09-00579 Donald J. Reilly Heten A. Reilly Name of tiie Respondent Hearing Site: Oriando, FL Raymond James Fi

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04541 Oppenhelmer& Co., Inc. vs. Lawrence Wbod SITUS: AUante, (Georgia NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES: For Claimant Oppenheimer & Co., Inc. f Ciaimanf^: Diana H. Sur, Esq., Office of the General Counsel, Oppenheimer & Co.. inc. New Yoric, New Yoric. Respondent Lawrence Wood ("Respondenf^ appeared pro se. DATE FILED: July 30, 2009 CASE SUMMARY: Ctalmant asserted a c

AWARD FINRA DISPUTE RESOLUTION CASE: Og-06086 Morgan Stenley Smith Barney LLC f/lc/a Morgan Stenley & Co., Inc. (Ctalmant) vs. Felix E. Deacon, III (Respondent) REPRESENTATION OF PARTIES. For Claimant: Todd Ratner, Esq., Paric Ratner PLC. Richmond, VA. Respondent did not appear in this matter. NATURE OF DISPUTE: Member vs. Associated Person. DATE FILED: October 21. 2009. CASE SUMMARY: Claimant asserted the cause of actton of feiiure to repay sums due

Award FINRA Dispute Reaolutlon In the Matter of the Arisitration Between: Name of ttie Claimant Case Number: 09-05979 Martin C. Reisner Names of the Resoondente Hearing Site: Boca Raton, Florida Suntrust Investment Services, Inc. David M. Maggio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Martin C. Reisner, hereinafter refened to as "Claimant": Charles D. Heidgerd, Esq., HeJdgerd Law Off

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Gilman, IRA (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number: 07-00281 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ronald Gilman, IRA hereinafter referred to as "Claimant": Davkl Gaba, Esq., Compass Law Group, PLLC, Seattle, WA. Respondent Morgan Keegan & Company, Inc., hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alexander Moskvin and Claire Moskvin (Claimants) vs. Wells Fargo Advisors, LLC f/k/a Wachovia Securities, LLC (Respondent) Case Number 09-03489 Hearino Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Alexander Moskvin ("A. Moskvin") and Ciaire Moskvin ("C. Moskvin"), hereinafter collectively referred to as "Claimants": St