AWARD FINRA Dispute Reaoiution in the Matter of the Artsitration Between: Names of Claimante Alina Zaucha and Joseph Zaucha vs. Case Number 09-03076 i-learing Site: Chicago, Illinois Names of Respondente Raymond James Financial Services, Inc. and Michael S. Soleslcy NATURE QF THE 0I8PUTE Customera vs. Member and Associated Pereon REPRESEMTATIQM OF PARTIgfi Alina Zaucha and Joseph Zaucha ("Claimante'^ were represented by James J. Moyla

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Kelli Jo Chandler Korenek vs. Case Number: 09-01540 Hearing Stte: Houston, Texas Names of Respondente Stephens, Inc., James L. Korenek, and Richard Randolph 'Wick" Alexander NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESEMTATIQM OF PARTIES Kelli Jo Chandler Korenek ("Claimant") was represented by Broadus A. Sphrey, Esq.,

AWARD FINRA Dispute Resolution in the Matter of the Arii>itration Between: Name of Claimant Apfel Realty LLC vs. Case Number 07-03625 Hearing Site: Detroit, Michigan Names of Resoondente GunnAiien Financial, Inc.. Franic J. Bluestein, Maximum Finandai Group, Inc., and F.F., Ina MATURE OF-mgDiaPUTg Customer vs. Member, Non-Members and Associated Person REPRESEMTATIQM OP PARTIES Apfei Realty i±C ("Claimant^ was represented by Anthony V.

Award FINRA Dispute Resolution in the Matter of tiie Arbitration Between: Robert Stephen Willoughby (Claimant) vs. Sky Capital LLC (Respondent) Case Number: 09-02226 Hearina Site: New Yoric, New Yoric Nature of the Dispute: Associated Person vs. Memt>er. REPRESENTATION OF PARTIES Claimant Robert Stephen Willoughby hereinafter referred to as "Claimant": Jeffrey Shepro, Esq., Jeffrey Shepro P.C., New Yori«, NY. Respondent did not enter an appearance in

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Jeffry A. Wisnia IRA Account (Claimant) vs. Morgan Keegan & Company, Inc. (Respondent) Case Number 09-05048 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant JefFry A. Wisnia IRA Account hereinafter refened to as "Claimanf: Howard B. Prossnitz. Esq., Law Offices of Howard B. Prossnitz, Chicago, IL. Respondent M

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Guy Girgenti (Claimant) vs. Janney Montgomery Scott, LLC and Janice Ginsburg (Respondent) Case Number: 09-01381 Hearina Site: NewYorit, NewYorl^ Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Guy Girgenti hereinafter refen^ to as "Claimant" appeared pro se. Respondents Janney Montgomery Scott. LLC ("Janney") and Janice Ginsbur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Giorgio Castro (Ciaimant) v. Chicago Investment Group, LLC (Respondent) Case Number. 09-02274 Hearing Site: New Yoric. New Yoric Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Giorgio Castro hereinafter referred to as "Claimant": Luigl Rosabianca, Esq., Rosabianca & Associates. PLLC, New Yoric, NY. Respondent Chicago Investment Group, LLC, hereina

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Clainnant Ross, Sinclaire & Associates, LLC vs. Case Number: 09-05218 Hearing Site: Cincinnati, Ohio Name of Respondent Clayton Lowell & Conger, Inc. NATURE OF THgPISPUTF Member vs. Member REPRESENTATION OF PARTIES Ross, Sinclaire & Associates, LLC ("Claimant^ .was represented by lj)uis F. Soiimine, Esq., Thompson Hine LLP, Cincinnati, Ohio. Clayton L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael Klausman, individually and as Grantor and Beneficiary of Michael Klausman IRA and the Michael Klausman Roth IRA. and Betsy Klausman, individually and as Grantor and Beneficiary of the Betsy Klausman IRA (Claimants) vs. J. Alden Associates, inc., and Donald Resnick (Respondents) Case Number: 09-01881 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Advisor Services, inc. vs. Case Number 10-00152 Hearing Site: Detroit. Michigan Name of Respondent David Strand NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Advisor Services, Inc. ("Claimanf or "AASH was represented by Edward A. Walton, Esq., Ameriprise Advisor Services, Inc., Detroit, Michiga