Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louise S. Hodge Multiple Powers Liquidity Trust by Mun^y W. Popkave, Tmstee (Claimant) vs. John Hancock Distributors, LLC (Respondent) Case Number 09-03616 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Louise S. Hodge Multiple Powers Lk^ukiity Trust by Munray W. Popkave, Tmstee hereinafter referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Amundsen (Claimant) vs. IDX Derivatives, LLC and Jamie Cawley (Respondente) Case Number: 09-01863 Hearing Site: New Yoric, New Yori( consolidated with IDX Derivatives, LLC (Claimant) vs. Morton international Corporation, COPS Woridwide, inc., Joseph Amundsen, Jesse Bookheim, Aaron Gilbert, Dan Ovemiyer and Edward Overmyer (Respondente) Case Number: 09-04109 Hearin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dan Breslauer (Claimant) v. Bear Steams & Co., Inc. (Respondent) Case Numt>er 07-00695 Hearing Site: New Yoric, New York Nature of the Dispute: Associated Person vs. Memt}er. REPRESENTATION OF PARTIES Claimant Dan Breslauer hereinafter referred to as "Claimant": Rot)ert B. Stult}erg, Esq.. Broach & Stulberg. LLP, New York, NY. Respondent Bear Steams & Co., inc., hereinafter refe

STIPULATED AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Names of Claimante Fidelity Brokerage Senrices, LLC and FMR, LLC vs. Case Number 10-01781 Hearing Site: Cincinnati. Ohio Names of Respondente Andrew Henries, William Doepker, and Steven O'Connor NATURE OF THE DISPUTE Memk>er and Non-Member vs. Associated Persons REPRESENTATION OF PARTIES Fidelity Brokerage Sennces, LLC ("Fidelity'O and FMR, LLC fFMR")

AWARD FINRA Dispute Resolution In the Matter of the Ariaitratlon Between: Name of Claimant Michael Kokoszka vs. Case Number 09-05002 Hearing Site: Detroit, Michigan Name of Respondent Curtis C. Wright NATURE OF THE DISPUTE Associated Pereon vs. Customer REPRESENTATION OF PARTIES Michael Kolcoszka ("Claimant") was represented by Samuel P. Mauch, Esq., Saretslcy Hart Michaels & Gould PC, Birmingham, Michigan. Curtis C. Wright ("Resp

AWARD FINRA Dteputo Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Pache, Successor Trustee of the James P. Pache Trust vs. Case Number: 09-04587 Hearing Site: Detroit, Michigan Name of Respondent Oppenheimer & Co.. inc. NATURE OF THF DISPUTg Customer vs. Member REPRESENTATION OF PARTIES Mary Pache, Successor Tmstee of the James P. Pache Trust ("Mrs. Pache" or "Claimant") was represented by Craig W. Hor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hal-Eleven Associates, LLC vs. Case Number: 09-03324 Hearing Site: Detroit, Michigan Name of Respondent Raymond James & Associates, Inc. NATURE OF THE QISPUTE Customer vs. Memk>er REPRESENTATIQM OF PARTIES Hal-Eleven Associates, LLC ("Claimant^ was represented by Anthony V. Trogan, Esq., Anthony V. Trogan, PLLC, West Bloomfield, Michigan. Ray

AWARD FINRA Dteputo Resolution in the Matter of the Artjitration Between: Name of Claimant Michael Tepper as Trustee and on behalf of the Michael Tepper Revocable Trust vs. Case Number 09-04167 Hearing Site: Oklahoma City. Oklahoma Name of Respondent Capitel West Securities, inc. NATURE OF THg DISPUTE Customer vs. Member REPRESEMTATIQM OF PARTIES Michael Tepper as Trustee and on behalf of the Michael Tepper Revocabte Trust ("Claim

AWARD FINRA Dtapute Resolution In the Matter of the Art}itration Between: Names of Claimante Kenneth J. Iwanlcki and Penelope Iwanicid vs. Case Number: 09-01494 IHearing Site: Chicago, Illinois Names of Resoondents Richard Lewin, Robert l.ewin, Basic Investors, Inc., and Penson Financial Services, Inc. MATURE OF THE DISPUTP Customers vs. Associated Persons and Members REPRESENTATION OF PARTIES Kenneth J. Iwanicki and Penelope

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Associated Financial Group, Inc. vs. Case Number 08-01874 Hearing Site: Columbus, Ohio Name of Respondent/Counter-Claimant Thomas S. Ensign and Name of Third-Partv Claimant Thomas S. Ensign vs. Name of Third-Partv Resoondent Associated Securrties Corp. NATURE OF THg DISPUTg Non-Member vs. Associated Perso