AWARD FINRA Dteputo Resolution In ttie Matter of ttie Arbttratton Between: Name of Claimant Thomas Edwin Lxigan vs. Names of Respondente Lincoto Finandal Distributore, Inc., Peter Kelly Sims, and Toni P. Moninger And Case Number 09-03394 Hearing Stte: San Dtego, Califomte LIncdn FInanctel Distributore, ina vs. Name of Counter-Respondent Thomas Edwin Logan NATURE OF THE PISPUTg Asaodated Person vs. Member and Associated Per

Award FINRA Dteputo Raeohitton In ttie Matter of the Artittration Between: Ctelmanl^Counter-RaBDondent Case Number 09^744 Cttigroup Global Marirela, Ina RegpondenttCounter-Ctelmant HwringSte: Anchorage, Atesiai Thomas Leo Stoner Natore ofthe Dtoputes: Member vs. Associated Person Assoctetsd Person V. Member REPRESENTATION OF PARTIES Cteimant/Countor-Raspondent Cttigroup Global Maricete. Inc.. hereinafter referred to "CteimanT: Yana Kr

StIpulatodAwanI FINRA Dteputo Reedutton In ttie ItMter of ttw Arisltration Between: Name of ttie Cteknant Case Number 0S-027e7 CIttgroup Gtobal Mariceto, Ina n/kfe Morgan Stanley SmKh Barney LLC Name of ttie Reaoondent Hearino Site: Houston, Texas Jeffirey B. Thompson Name of ttie Countar-Cteknant Jeffirey B. Thompson Name of ttie Counter-ResDondent CWgroup Gtobal Maricete, Inc. n/kfe Morgan Stanley Smitti Barney IXC NatufeoTSputo

Award FINRA Dteputo Raeohitton In the Matter of the AiUlratton Between: Ctelmant Case Number 0&-0383S John C. Jones Respondente Hearino SHa: San Frandsoo. CalHbmte WUIs Fargo Invesbnente. LLC Robert Arthur Lenz Evan Ganett SarKhez Nature ofthe Dispute: Customer vs. Member and Aaaodated Persons REPRESENTATION OF PARTIES Ctelmant John C. Jones hereinafter rsferrad to as Xteimant:: Matthew K. EdIIng, Esq.. Cotchett, PKrs & McCarttiy, Bur

Award FINRA DIapufes Reeolutlon In the Matter of the Arbitration Between: Name of the Claimant Case Number 0ft4)4291 The Selan Family Tnjst dd 8/25/85 Hamt Irf tht RMWrritnt Haarino site: Loa Anolea. CaHinmia Citigroup Globai iMarfcels, Inc. Nature of the Oiapute: Customer vs. Member Public Arbitrator Pilot Program/All Public Panel REPRESENTATIQM OF PAIfflEg Claimant The Selan Family Trust dd 8/25/85, herelnaflar referred to as Xlaimanr*:

AWARD FINRA DISPUTE RESOLUTION CASE: 09-06013 John Gaughan (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Kansas City. MO. For Respondent appeared Brandon K. Hemley, Esq. Charles Schwab & Co., Inc., San Francisco. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 16. 2009 CASE SUMMARY: Claimant asserted the foltowing cause of action: breach of fiduciary duty. The cause o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Scott J. Kurland (Respondent) Case Number: 10-00036 Hearing Site: New Yoric, New Yoric Nature of tiie Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": John T. McGuire. Esq., Oppenheimer & Co., Inc., New Yoric, NY. Respondent did ndt enter an appearance

Award FINRA Dteputo Reeolutlon In the Matter of the Arbitration Beteieen: Mmna of tha Claimant Case Number 08-00050 Cateiyst Health Soluttons, Ina HmttfffitRitgflntitnt Hearing Site: Washington, D.C. Credit Sutose Securittee (USA) LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Cateiyst Heelth Soluttons, ina. hereinafter referred to as XiainrMnr: Susan R. Podotoky, Esq., Bruce V. Spiva, Esq. and Kathteen R. Hartn

Awerd FINRA Dleputo Resolution In the Matter of the Arbftradon Between: Name of the Claimant Frederick M.Hert Names of the Respondente Obsidian Rnandal Group, LLC f/k/a Grantte Securities. LLC FFP Securities, Inc. n/k/a First AUIed Securities, kic. Peter J. Dawson Bruce Baker James Raymond Duffy Douglae Aiithony DMomlntoa Caw Nmfry; 0aO3306 Hearino Site: Chariotte, North Carolina Nature of the Dispute: Customer vs. Member and

AWARD FINRA DISPUTE RESOLUTION CASE: CASE NUMBER: 09-06945 Wells Fargo Advisors, LLC formeriy known as Wachovia Securities, LLC ("Clafmanr) vs. James Henry ("Respondent^) REPRESENTATION OF PARTIES: For Claimant: Michael S. Cotombo, PreskJent and CEO, StreefWkle Asset Recovery Group. Inc., Hazlet, New Jersey. For Respondent: Phillip C. Green, Esq., Green Law Office. PLLC, Star City, Aricansas. NATURE OF DISPUTE: Member vs. Associated Person.