Awiid FINRA Dtoputo RMOlutlon In the Matter of the Arbitration BeMween: ClalQSaDlft Cage Number 094)3933 RonAuren Gal Corporation Ryyp^yi^ Hearing SHa: Loa Angeles. Catifbmla TD Ameritiade, inc. Nature of the Dispute: Customers vs. Member Public Arbitrator Pilot Program/All Public Panel REPRE&EMTATJQN OF PARTIES Claimants, Ron Auran and Gal Corporation, hefeinafler refened to coilectively as "Claimants': RonAuren, Palm Springs, Callfb

AWARD FINRA Dteputo Reaoiution In the Matter of the Arbttration Between: Name of Claimant Woodbury Financial Services, Inc. vs. Case Number 00-03477 Hearing Site: Dallas, Texas Name of Respondent Michael A. Dagnan NATURE QF THE PI8PUTE Member vs. Associated Pereon REPRESENTATION OF PARTIES Woodbury Financial Services, Inc. C'ClaimanT or 'Woodbury") was represented by Martin S. Chester, Esq., Faegre & Benson, LLP, Minneapolis, Minnesot

Stiputeted Award FINRA Dteputo Resolution In ttie Matter of the Ari)ttration Between: Name of the Cteimant Case Number: 09-00059 Gregory George Name of ttie Resoondente Hearino Stte: Boca Raton. FL FMSbonds, Inc. Michael DeStateno Natore of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory George, hereinafler refened to as "CteimantT: Bradford M. Guoclardo, Esq. and Scott Hirsch, Esq., Scariett &

Award FINRA Dteputo Resolution In ths Matter of the Arbttration Between: Name of ttie Cteimant Case Number 08-02041 MItton J. Seymour, Jr. Name of ttie Resoondente Hearing gtt^; Jackson, MS Wachovte Securittes, LLC Mnhael F. Odom Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mitton J. Seymour, Jr., hereinafter refened to as "Claimanf: Mack A. Bettiea, Esq., Jackson, MS and Frank C. Breese.

AWARD FINRA DIsputo Resolution In the Matter of the Arijitration Between: Name of Claimant Michael P. McMahon vs. Case Number 09-01642 Hearing Site: Minneapolis, Minnesote Name of Respondent Stifel, Nicholas & Company, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael P. McMahon ("ClaimanT) was represented by Shannon M. McDonough, Esq. Fafinski Marie & Johnson, PA, Eden Prairie, Minnesote. S

AWARD FINRA Dispute Reeolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number 09-01452 Hearing Site: Dallas, Texas Name of Respondent Jeremy Blaine Strauss MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant* or'Wachovia") was represented by Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Jeremy Blaine S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kevin Dimssa (Claimant) vs. Sterne Agee & Leach, Inc. (Respondent) Case Number 09-00176 Hearino Site: Newaric, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Kevin Dimssa hereinafter refened to as "Claimant": Jonathan S. Sack, Esq., Sack & Sack, New York, NY. Respondent Sterne Agee & Leach, Inc., hereinafter referred to as "Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nicolas Billeaud (Claimant) vs. HSBC Securities (USA) Inc., HSBC Bank USA, N.A.. and HSBC North America {Holdings, Inc. (Respondents) Case Number: 09-04408 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Memt)ers REPRESENTATION OF PARTIES Claimant Nicolas Billeaud hereinafter refened to as "Claimant": Martin F. Gusy, Esq., Gusy Van de

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05964 Matthew Bryan Andrews (Claimant) vs. Mark Thomas Rizzieri (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Charlotte, NC. For Respondent appeared Andrew Upton, Esq., Morgan Stanley Smith Barney, New York, NY. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: October 15, 2009 CASE SUMMARY: Claimant asserted the following causes of action: unauthorized purchase and selloff.

Award FINRA Dispute Reeolution In the Matter of the Arbitration Between: Raymond James & Associates. Inc. (Claimant) vs. Bruce Katz (Respondent) Case Number: 09-04566 Hearing Site: New Yori< , New Yori« Nature of the Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES Claimant Raymond James & Associates, Inc.. hereinafter refened to as "Claimant": Kelli Bullington, Esq., Raymond James & Associates, Inc., St. Petereburg. FL. Respondent Bru